Our Staff has compiled our research into a database of FINRA Broker Disclosures for Merrill Lynch, Pierce, Fenner & Smith Incorporated. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Robert Victor Lattig | 4160391 | 1 | 03/19/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Ogren | 1421736 | 2 | 03/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Omar Khalil | 6736786 | 1 | 03/13/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Alberto Casellas | 2638747 | 2 | 03/11/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Margarita Figueroa | 1560872 | 3 | 03/09/2020 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 03/09/2020 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 03/06/2020 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Brian Richard Janus | 2899680 | 5 | 02/26/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David M Wilson | 4766367 | 4 | 02/11/2020 | Customer Dispute | Settled | $247,924.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 02/10/2020 | Customer Dispute | Settled | $5,000,000.00 | $0.00 | See FINRA Report |