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 | 11/13/2009 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Stephen Douglas Ryan | 1932446 | 2 | 11/12/2009 | Customer Dispute | Settled | $225,000.00 | $0.00 | See FINRA Report |
| 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 |
| Joseph Michael Lavalle | 1355858 | 1 | 11/02/2009 | Customer Dispute | Settled | $736,420.00 | $0.00 | See FINRA Report |
| Zakir N Odhwani | 4541075 | 1 | 10/29/2009 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Raymond Lau | 1974191 | 1 | 10/21/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |
| Stephen Daniel Polin | 2860574 | 5 | 10/20/2009 | Customer Dispute | Settled | $553,732.00 | $0.00 | See FINRA Report |
| Anthony J Russo | 2276753 | 6 | 10/15/2009 | Customer Dispute | Settled | $38,350,000.00 | $0.00 | See FINRA Report |