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 |
|---|---|---|---|---|---|---|---|---|
| Javier Estremera | 3139409 | 11 | 03/25/2019 | Customer Dispute | Settled | $146,250.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 03/19/2019 | Customer Dispute | Settled | $572,078.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 03/15/2019 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Marko Milosevic | 6636512 | 2 | 03/13/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 03/07/2019 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 02/19/2019 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Neil Vinod Mehta | 5802739 | 3 | 01/31/2019 | Customer Dispute | Settled | $110,406.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 01/29/2019 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Daniel John Moran | 1864762 | 5 | 01/23/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 01/17/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |