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 |
|---|---|---|---|---|---|---|---|---|
| James William Winstel | 2950076 | 1 | 06/28/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rong Shen | 5092338 | 4 | 04/22/2022 | Customer Dispute | Closed-No Action | $10,000.00 | $0.00 | See FINRA Report |
| Robert Roy Snider | 2417319 | 3 | 03/29/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Adam Wesley Townsend | 3034553 | 1 | 03/18/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Roy Snider | 2417319 | 3 | 02/08/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| David Guangren Xi | 3094321 | 1 | 01/17/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Patrick Ralph Pilla | 4801226 | 1 | 07/21/2020 | Customer Dispute | Closed-No Action | $101,000.00 | $0.00 | See FINRA Report |
| Timothy Patrick Danahy | 1350324 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| David Hugh Root | 1403460 | 4 | 04/23/2019 | Customer Dispute | Closed-No Action | $470,000.00 | $0.00 | See FINRA Report |
| Michael Patrick Root | 2723359 | 2 | 02/01/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |