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 |
|---|---|---|---|---|---|---|---|---|
| Alfonso Luis Boneta | 4728302 | 7 | 12/17/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Austin H Rap | 5977026 | 1 | 09/10/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Kenneth Kirk Beesmer | 2296782 | 1 | 05/20/2018 | Customer Dispute | Withdrawn | $27,640.30 | $0.00 | See FINRA Report |
| Donald Joseph Porterfield | 1700761 | 7 | 01/11/2017 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Fernando V de La Vega | 2025344 | 20 | 04/05/2016 | Customer Dispute | Withdrawn | $500,000.00 | $0.00 | See FINRA Report |
| Robert Wade Lapietra | 4374155 | 3 | 10/27/2014 | Customer Dispute | Withdrawn | $750,000.00 | $0.00 | See FINRA Report |
| Brad Roger Nettune | 2866110 | 3 | 09/24/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Aric E. H Friend | 4939852 | 1 | 08/12/2013 | Customer Dispute | Withdrawn | $90,000.00 | $0.00 | See FINRA Report |
| David Paul Smith | 4268286 | 1 | 07/26/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Michael J Barnes | 4572375 | 2 | 07/12/2013 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |