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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Francis Fessler | 1889126 | 2 | 06/22/2016 | Customer Dispute | Settled | $470,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 06/20/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 06/20/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 06/20/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Joshua Lee Bradley | 4416191 | 3 | 06/17/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stephen Marchelo Medina | 2614773 | 6 | 06/15/2016 | Customer Dispute | Settled | $3,571,820.00 | $0.00 | See FINRA Report |
| Stephen Michael Callari | 2299447 | 3 | 06/14/2016 | Customer Dispute | Settled | $1,383,320.00 | $0.00 | See FINRA Report |
| Brandt Judah Cybul | 5645813 | 1 | 05/24/2016 | Customer Dispute | Settled | $1,000,000.00 | $0.00 | See FINRA Report |
| Javier Estremera | 3139409 | 11 | 05/18/2016 | Customer Dispute | Settled | $211,500.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 05/12/2016 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |