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 |
|---|---|---|---|---|---|---|---|---|
| James S Morner | 4977718 | 2 | 01/17/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Benjamin R Jordan | 6980607 | 2 | 12/26/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 10/28/2019 | Customer Dispute | Settled | $490,000.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 10/22/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Daren Michael Frankeberger | 3096364 | 2 | 10/18/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 10/04/2019 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 09/24/2019 | Customer Dispute | Settled | $350,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 09/12/2019 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Anthony Joe | 2519573 | 2 | 09/10/2019 | Customer Dispute | Settled | $181,608.00 | $0.00 | See FINRA Report |
| Neil Vinod Mehta | 5802739 | 3 | 09/06/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |