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 |
|---|---|---|---|---|---|---|---|---|
| Joe Celotto | 2837515 | 1 | 06/05/2023 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Marc C Demello | 1753921 | 4 | 04/30/2022 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Pfenninger Dahme | 724394 | 4 | 02/18/2021 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Roberto A Fernandez | 1404389 | 6 | 01/07/2021 | Customer Dispute | Withdrawn | $50,000.00 | $0.00 | See FINRA Report |
| Nicole R Holmes | 4585068 | 1 | 05/29/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Benedicto Pichay Crisologo | 3004389 | 1 | 03/24/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Reese C Gneiting | 6089200 | 1 | 03/21/2020 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Hermann Josef Hertell | 5852812 | 2 | 03/04/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Alfonso Luis Boneta | 4728302 | 7 | 03/04/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Corey Kimble | 6243624 | 1 | 12/21/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |