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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Pablo Gomez | 2068388 | 17 | 09/17/2014 | Customer Dispute | Settled | $1,300,060.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 7 | 09/10/2014 | Customer Dispute | Settled | $320,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 09/09/2014 | Customer Dispute | Settled | $24,727.00 | $0.00 | See FINRA Report |
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 09/09/2014 | Customer Dispute | Settled | $24,727.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 7 | 09/09/2014 | Customer Dispute | Settled | $411,000.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 09/04/2014 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Kevin Andrew Sullivan | 2638587 | 2 | 09/02/2014 | Customer Dispute | Settled | $440,000.00 | $0.00 | See FINRA Report |
| Glenn S Rodriguez | 2878486 | 1 | 08/28/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Luis Manuel Gutierrez | 2771436 | 2 | 08/22/2014 | Customer Dispute | Settled | $302,000.00 | $0.00 | See FINRA Report |
| Jose Miguel Iguina Hernandez | 2936680 | 29 | 08/19/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |