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 | 11/05/2015 | Customer Dispute | Settled | $1,113,000.00 | $0.00 | See FINRA Report |
| Michael G Ulrich | 3276494 | 4 | 11/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 11/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 7 | 10/28/2015 | Customer Dispute | Settled | $347,193.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 10/12/2015 | Customer Dispute | Settled | $2,425,000.00 | $0.00 | See FINRA Report |
| Daniel E Maldonado Mercado | 2561190 | 5 | 10/12/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 10/02/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Bruce Daniel Huggins | 1444889 | 6 | 09/18/2015 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Heather Peterson Weber | 2911524 | 10 | 09/10/2015 | Customer Dispute | Settled | $475,000.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 08/27/2015 | Customer Dispute | Settled | $849,586.00 | $0.00 | See FINRA Report |