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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Sydney Kaufman | 4167959 | 3 | 06/10/2015 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Harris Sloan | 2119880 | 3 | 03/09/2015 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Irving Mechanic | 2659814 | 1 | 08/11/2014 | Customer Dispute | Closed-No Action | $46,000.00 | $0.00 | See FINRA Report |
| George Patrick Monastra | 1158064 | 1 | 08/07/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Holly Ann Johnson | 5384091 | 1 | 05/09/2014 | Customer Dispute | Closed-No Action | $6,174.50 | $0.00 | See FINRA Report |
| David Hugh Root | 1403460 | 4 | 05/08/2014 | Customer Dispute | Closed-No Action | $27,000.00 | $0.00 | See FINRA Report |
| Brett A Thiery | 5179667 | 9 | 04/17/2014 | Customer Dispute | Closed-No Action | $70,000.00 | $0.00 | See FINRA Report |
| Brian Charles McGeehan | 4019304 | 2 | 03/28/2014 | Customer Dispute | Closed-No Action | $211,391.00 | $0.00 | See FINRA Report |
| James William Cleary | 1155088 | 6 | 03/28/2014 | Customer Dispute | Closed-No Action | $211,391.00 | $0.00 | See FINRA Report |
| Bryan Nelson Milton | 2214192 | 1 | 09/17/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |