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 |
|---|---|---|---|---|---|---|---|---|
| Jaime Antonio Rullan | 2923020 | 9 | 01/14/2015 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 01/14/2015 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Glenn E Hain | 2645863 | 4 | 01/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| N Sean Longo | 4841588 | 1 | 01/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jack Destefano | 5353806 | 1 | 01/06/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carol Floyd Ham | 2832668 | 4 | 12/04/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joel Davila | 4858812 | 1 | 12/03/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Juan Antonio Braschi | 1753315 | 6 | 12/03/2014 | Customer Dispute | Settled | $700,000.00 | $0.00 | See FINRA Report |
| Jason Andrew Jones | 5079941 | 2 | 12/02/2014 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Jones | 2222919 | 3 | 12/02/2014 | Customer Dispute | Settled | $1,250,000.00 | $0.00 | See FINRA Report |