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 | 01/31/2017 | Customer Dispute | Settled | $1,200,000.00 | $0.00 | See FINRA Report |
| Peter Nagy Ibrahim | 2349960 | 1 | 01/30/2017 | Customer Dispute | Settled | $855,000.00 | $0.00 | See FINRA Report |
| Pedro M Suau-Sanchidrian | 2765419 | 3 | 01/04/2017 | Customer Dispute | Settled | $1,341,620.00 | $0.00 | See FINRA Report |
| Marlon Varsace | 4768670 | 1 | 12/14/2016 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| James M Stapleton | 5274540 | 1 | 12/12/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Louis Dimattio | 2044457 | 2 | 11/18/2016 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Shannon Lee Barnwell | 3108019 | 2 | 11/08/2016 | Customer Dispute | Settled | $772,894.00 | $0.00 | See FINRA Report |
| Julian C Lopez | 3172924 | 1 | 11/08/2016 | Customer Dispute | Settled | $772,894.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 11/04/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christian P Raynor | 3122277 | 1 | 10/31/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |