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 |
|---|---|---|---|---|---|---|---|---|
| Ricardo Antonio Rodriguez Vazquez | 2609776 | 18 | 08/19/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Jaime Antonio Rullan | 2923020 | 9 | 08/13/2014 | Customer Dispute | Settled | $1,398,300.00 | $0.00 | See FINRA Report |
| Carlos Gonzalez Abella | 3207913 | 23 | 08/13/2014 | Customer Dispute | Settled | $1,398,300.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 08/08/2014 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Alex Jose Gierbolini | 2894231 | 24 | 08/05/2014 | Customer Dispute | Settled | $615,071.00 | $0.00 | See FINRA Report |
| Mark Eben Lilley | 2775770 | 6 | 08/05/2014 | Customer Dispute | Settled | $666,795.00 | $0.00 | See FINRA Report |
| James Robert Linsenmayer | 4230123 | 1 | 07/31/2014 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nelson Wingate Heinrichs | 2677013 | 1 | 07/23/2014 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| Carl Peter Neuberger | 732053 | 3 | 07/22/2014 | Customer Dispute | Settled | $9,113.36 | $0.00 | See FINRA Report |
| Jason Andrew Jones | 5079941 | 2 | 07/08/2014 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |