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 |
|---|---|---|---|---|---|---|---|---|
| Aaron Paul Rask | 5960444 | 2 | 12/22/2022 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alana K Wong | 3172162 | 1 | 03/16/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Chase Andrew Chick | 7586614 | 1 | 11/03/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kamron Chris Wootton | 6395549 | 1 | 03/18/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy David Tanner | 2499960 | 3 | 11/22/2019 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Justin Towne | 6414493 | 4 | 02/17/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Anthony Stavrou | 7059546 | 1 | 01/25/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Matthew Joseph Whelan | 7555802 | 1 | 09/08/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Blake Sypher | 7229280 | 2 | 04/07/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Blake Sypher | 7229280 | 2 | 04/07/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |