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 |
|---|---|---|---|---|---|---|---|---|
| Fernando V de La Vega | 2025344 | 20 | 08/25/2015 | Customer Dispute | Settled | $580,000.00 | $0.00 | See FINRA Report |
| Robert M Dolfi | 1455302 | 2 | 08/11/2015 | Customer Dispute | Settled | $301,000.00 | $0.00 | See FINRA Report |
| Patricia L Pappas-O'Day | 2872041 | 1 | 08/04/2015 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robert Morris Gorelick | 4415734 | 1 | 07/29/2015 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 07/24/2015 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Pedro Pablo Gomez | 2068388 | 17 | 07/23/2015 | Customer Dispute | Settled | $1,644,000.00 | $0.00 | See FINRA Report |
| John H Anderson, Jr | 5632387 | 1 | 07/22/2015 | Customer Dispute | Settled | $271,000.00 | $0.00 | See FINRA Report |
| Addison Michael Sherman | 1261217 | 3 | 07/21/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carolyn Atwill Sullivan | 2400540 | 2 | 06/25/2015 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Denise Kim Mersinger | 3128752 | 2 | 06/18/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |