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 |
|---|---|---|---|---|---|---|---|---|
| Alex Jose Gierbolini | 2894231 | 24 | 09/01/2016 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/30/2016 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 08/29/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 08/19/2016 | Customer Dispute | Settled | $216,000.00 | $0.00 | See FINRA Report |
| Kevin L Draggoo | 1405403 | 1 | 08/16/2016 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Roberto Hernan Santa Maria | 3189797 | 31 | 08/05/2016 | Customer Dispute | Settled | $340,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 08/01/2016 | Customer Dispute | Settled | $2,000,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 07/07/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 06/29/2016 | Customer Dispute | Settled | $487,727.00 | $0.00 | See FINRA Report |
| Raj Sharma | 1764403 | 2 | 06/24/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |