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 | 11/27/2018 | Customer Dispute | Settled | $80,000.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 11/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 11/06/2018 | Customer Dispute | Settled | $1,350,000.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 10/25/2018 | Customer Dispute | Settled | $324,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/25/2018 | Customer Dispute | Settled | $324,000.00 | $0.00 | See FINRA Report |
| Jason J Ortiz | 5433449 | 1 | 10/14/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 10/02/2018 | Customer Dispute | Settled | $507,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/02/2018 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/02/2018 | Customer Dispute | Settled | $507,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 09/26/2018 | Customer Dispute | Settled | $265,000.00 | $0.00 | See FINRA Report |