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 |
|---|---|---|---|---|---|---|---|---|
| Kirk Allen Lippert | 2264782 | 1 | 02/19/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Matthew L Williams | 5352514 | 1 | 02/14/2016 | Customer Dispute | Settled | $31,074.00 | $0.00 | See FINRA Report |
| John Edward Glasgow | 1050127 | 1 | 02/09/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Mills | 1301076 | 2 | 02/02/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Martin Eric Schwartz | 1185249 | 5 | 01/13/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Melaney Friesen Shaum | 4067225 | 2 | 01/06/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Margarita Figueroa | 1560872 | 3 | 12/30/2015 | Customer Dispute | Settled | $490,742.00 | $0.00 | See FINRA Report |
| Catherine Mercedes Santiago Toca | 1554210 | 5 | 12/30/2015 | Customer Dispute | Settled | $490,742.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 12/09/2015 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Michael Alfred Roma | 4744529 | 2 | 11/30/2015 | Customer Dispute | Settled | $26,183.20 | $0.00 | See FINRA Report |