Our Staff has compiled our research into a database of FINRA Broker Disclosures for MML Investors Services, LLC. 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 |
|---|---|---|---|---|---|---|---|---|
| Edward Williams Ricker | 6008239 | 2 | 08/23/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Pergola | 1132631 | 1 | 08/23/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Salvatore Rosario Tringali | 5141716 | 1 | 08/20/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joel Warren Saperstein | 4389204 | 12 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jesse Michael Polk | 5794306 | 2 | 08/13/2024 | Customer Dispute | Denied | $300,000.00 | $0.00 | See FINRA Report |
| Oleg Metsaev | 4912859 | 1 | 08/12/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Vincenzo Pietro Garganese | 6760844 | 1 | 08/05/2024 | Customer Dispute | Pending | $130,000.00 | $0.00 | See FINRA Report |
| Brian D Fetsco | 4773074 | 2 | 07/29/2024 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Eric Duane Snyder | 5389657 | 2 | 07/16/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bruce William Marche | 2404029 | 1 | 07/16/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |