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 |
|---|---|---|---|---|---|---|---|---|
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/15/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/12/2018 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Christopher M Leone | 3111303 | 1 | 06/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 05/21/2018 | Customer Dispute | Settled | $102,524.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 05/09/2018 | Customer Dispute | Settled | $889,790.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 05/08/2018 | Customer Dispute | Settled | $1,750,000.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 05/03/2018 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Nas Adel Allan | 4562149 | 3 | 04/30/2018 | Customer Dispute | Settled | $88,671.00 | $0.00 | See FINRA Report |
| Hisashi Sakashita | 4520758 | 1 | 04/27/2018 | Customer Dispute | Settled | $65,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 04/13/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |