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 |
|---|---|---|---|---|---|---|---|---|
| Carlos Gonzalez Abella | 3207913 | 23 | 06/02/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 06/01/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Foley | 2595233 | 3 | 05/22/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Joel Thomas Summerlin | 2289767 | 2 | 05/16/2017 | Customer Dispute | Settled | $750,000.00 | $0.00 | See FINRA Report |
| Timothy Revell Roberson | 2200567 | 4 | 05/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel E Maldonado Mercado | 2561190 | 5 | 05/08/2017 | Customer Dispute | Settled | $247,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 05/05/2017 | Customer Dispute | Settled | $950,000.00 | $0.00 | See FINRA Report |
| John Kettmann | 2136900 | 2 | 05/05/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 05/01/2017 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 05/01/2017 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |