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 |
|---|---|---|---|---|---|---|---|---|
| Austin H Rap | 5977026 | 1 | 09/10/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Candida Lucila Bobonis Roig | 1205376 | 5 | 06/12/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Franco G Fullana | 4248873 | 11 | 06/12/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Lizzette E Bobonis Roig | 2899000 | 6 | 06/12/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Dario Alberto Ochoa | 4248706 | 4 | 06/12/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Kenneth Kirk Beesmer | 2296782 | 1 | 05/20/2018 | Customer Dispute | Withdrawn | $27,640.30 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 01/11/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 17 | 04/05/2016 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Robert Wade Lapietra | 4374155 | 3 | 10/27/2014 | Customer Dispute | Withdrawn | $750,000.00 | $0.00 | See FINRA Report |
| William Worthen King | 1432593 | 8 | 04/16/2014 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |