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 |
|---|---|---|---|---|---|---|---|---|
| Robert Lee Williams | 708019 | 4 | 04/01/2003 | Customer Dispute | Award / Judgment | $105,000.00 | $200,000.00 | See FINRA Report |
| David Noel Morales | 1702749 | 3 | 01/16/2003 | Customer Dispute | Award / Judgment | $275,000.00 | $145,000.00 | See FINRA Report |
| Jeffrey Leonard Allison | 1382177 | 5 | 10/10/2002 | Customer Dispute | Award / Judgment | $158,000.00 | $340,000.00 | See FINRA Report |
| Sanjay Prasad | 2245811 | 1 | 09/07/2001 | Customer Dispute | Award / Judgment | $72,000.00 | $37,500.00 | See FINRA Report |
| Sheldon Hughes Reid | 1199417 | 10 | 07/06/1999 | Customer Dispute | Award / Judgment | $10,000.00 | $4,999.99 | See FINRA Report |
| Katherine Ruth McLernon | 2108915 | 2 | 10/27/1995 | Customer Dispute | Award / Judgment | $4,793.00 | $4,793.00 | See FINRA Report |
| Joseph Mario Minieri | 1195018 | 5 | 01/01/1994 | Customer Dispute | Award / Judgment | $89,000.00 | $56,294.70 | See FINRA Report |
| Matthew Jude Capone | 1017593 | 5 | 06/17/1992 | Customer Dispute | Award / Judgment | $1,120,560.00 | $301,250.00 | See FINRA Report |