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 |
|---|---|---|---|---|---|---|---|---|
| Jennifer S Yoon | 3076614 | 3 | 10/25/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Dissmore Wright | 2964935 | 2 | 10/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Joe | 2519573 | 2 | 10/17/2016 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/04/2016 | Customer Dispute | Settled | $688,000.00 | $0.00 | See FINRA Report |
| Clayton Robert Gibson | 3258932 | 1 | 09/28/2016 | Customer Dispute | Settled | $419,845.00 | $0.00 | See FINRA Report |
| Scott Jeffrey Spiegle | 2774950 | 1 | 09/23/2016 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Stephen E Spiegle | 432085 | 1 | 09/23/2016 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 09/22/2016 | Customer Dispute | Settled | $214,000.00 | $0.00 | See FINRA Report |
| Violet Lee | 2279257 | 2 | 09/16/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 09/06/2016 | Customer Dispute | Settled | $707,000.00 | $0.00 | See FINRA Report |