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 | 08/01/2017 | Customer Dispute | Settled | $365,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 07/24/2017 | Customer Dispute | Settled | $725,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 07/05/2017 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Akinwale Adebayo | 5198788 | 1 | 07/05/2017 | Customer Dispute | Settled | $111,658.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 06/29/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/27/2017 | Customer Dispute | Settled | $438,946.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/27/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 06/22/2017 | Customer Dispute | Settled | $875,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 06/16/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/07/2017 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |