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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Sercheow Koh | 1553631 | 3 | 01/09/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Lee Williams | 708019 | 4 | 03/28/2002 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brad Alan Berkowitz | 2171344 | 1 | 11/02/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jason Matthew Tether | 2416112 | 1 | 06/13/2001 | Customer Dispute | Closed-No Action | $47,200.00 | $0.00 | See FINRA Report |
| Thomas Anthony Gallagher | 1976385 | 5 | 08/20/1999 | Customer Dispute | Closed-No Action | $9,029.59 | $0.00 | See FINRA Report |
| Debra Ann Bailer | 1274395 | 1 | 08/03/1999 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Brian Norton Caine | 1581620 | 1 | 12/23/1998 | Customer Dispute | Closed-No Action | $223,000.00 | $0.00 | See FINRA Report |
| Jared Seth Levy | 2402343 | 1 | 08/06/1998 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Warren Brandies | 28849 | 3 | 04/02/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roland Francis Gaudette | 711917 | 5 | 02/18/1998 | Customer Dispute | Closed-No Action | $3,800.00 | $0.00 | See FINRA Report |