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 |
|---|---|---|---|---|---|---|---|---|
| John Walker Darrah | 1981123 | 2 | 11/05/2009 | Customer Dispute | Settled | $500,000.00 | $0.00 | See FINRA Report |
| Rodrigo K Hanna | 5483951 | 1 | 11/05/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin P McCulloch | 2581624 | 1 | 11/05/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Moore | 1114473 | 3 | 11/03/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Carmine Pezzella | 1762559 | 1 | 11/02/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Joseph Michael Lavalle | 1355858 | 1 | 11/02/2009 | Customer Dispute | Settled | $736,420.00 | $0.00 | See FINRA Report |
| Terence J Creighton | 733174 | 3 | 10/31/2009 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Areano | 3190252 | 2 | 10/29/2009 | Customer Dispute | Denied | $5,327.20 | $0.00 | See FINRA Report |
| Zakir N Odhwani | 4541075 | 1 | 10/29/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Robert Steven Bennett | 1877967 | 1 | 10/28/2009 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |