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 |
|---|---|---|---|---|---|---|---|---|
| Allann Cassio Marra | 5251169 | 1 | 11/12/2014 | Customer Dispute | Settled | $9,580.00 | $0.00 | See FINRA Report |
| Michael Thomas Jones | 2222919 | 3 | 11/03/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 10/30/2014 | Customer Dispute | Settled | $1,025,620.00 | $0.00 | See FINRA Report |
| Hector William Laffitte-Rossy | 1672889 | 9 | 10/30/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 10/27/2014 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 10/27/2014 | Customer Dispute | Settled | $800,000.00 | $0.00 | See FINRA Report |
| Nathan David Geisler | 219405 | 1 | 10/16/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Carol Floyd Ham | 2832668 | 4 | 10/07/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kay F Sullivan | 4553064 | 2 | 09/30/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Refuerzo | 5719309 | 1 | 09/30/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |