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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 01/17/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 01/17/2019 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 01/15/2019 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Mikihisa Kobayashi | 5759616 | 1 | 01/08/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stefano D Fava | 5384789 | 1 | 12/24/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew Christopher Dupuis | 4818837 | 2 | 12/21/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jon Scott Richman | 2804404 | 2 | 12/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel D Hansen | 5457819 | 1 | 12/12/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Margarita Figueroa | 1560872 | 3 | 11/29/2018 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 11/29/2018 | Customer Dispute | Settled | $425,000.00 | $0.00 | See FINRA Report |