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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Gregson | 6244446 | 1 | 08/22/2019 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 08/22/2019 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/15/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 08/15/2019 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/12/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 08/06/2019 | Customer Dispute | Settled | $1,260,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 08/05/2019 | Customer Dispute | Settled | $224,001.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/30/2019 | Customer Dispute | Settled | $550,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/29/2019 | Customer Dispute | Settled | $438,952.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/25/2019 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |