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 |
|---|---|---|---|---|---|---|---|---|
| John Victor Heflebower | 2000072 | 2 | 06/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Juan Guillermo Herrans Barreras | 1742910 | 5 | 06/10/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Hector Ruben Rosario Cuevas | 5435619 | 1 | 06/10/2015 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Edward Gerald Schwarz | 843622 | 2 | 06/01/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 05/26/2015 | Customer Dispute | Settled | $75,000.00 | $0.00 | See FINRA Report |
| Eric B Candelori | 1678961 | 3 | 05/08/2015 | Customer Dispute | Settled | $638,350.00 | $0.00 | See FINRA Report |
| John Victor Heflebower | 2000072 | 2 | 05/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Douglas Legate Howard | 1019738 | 3 | 04/30/2015 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Michael A Goldstein | 2701827 | 1 | 04/29/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Arlington Kienzle | 5164154 | 2 | 04/23/2015 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |