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 |
|---|---|---|---|---|---|---|---|---|
| Eric Shawnyee Tom | 1890823 | 12 | 07/26/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Edward Kenneth Kovac | 4142199 | 2 | 07/12/2013 | Customer Dispute | Closed-No Action | $76,941.00 | $0.00 | See FINRA Report |
| Judith Hobbs Luddy | 1012715 | 1 | 05/29/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| John Joseph Lavo | 1185209 | 3 | 02/21/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Robert Powell Rueseler | 1784901 | 1 | 01/03/2013 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Casey Scott Johnson | 5506431 | 1 | 12/26/2012 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Elizabeth Harris Sloan | 2119880 | 3 | 11/30/2012 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Barry Robert Finn | 4883513 | 1 | 07/19/2012 | Customer Dispute | Closed-No Action | $50,142.00 | $0.00 | See FINRA Report |
| Jason Lee Peeples | 1093757 | 4 | 06/30/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Rong Shen | 5092338 | 4 | 05/08/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |