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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Mayhew | 7635662 | 1 | 10/16/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Rachael Roth | 6476506 | 1 | 04/14/2011 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Sean Patrick O'Rourke | 5186224 | 1 | 10/22/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Bruce Raymond Bremer | 2703524 | 1 | 09/03/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Heather Christine Lecompte | 6857945 | 1 | 04/15/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicola Ottavio Caporaso | 4625003 | 5 | 01/17/2010 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Drew M Shapiro | 5439152 | 1 | 11/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Gregory Wachter | 5849984 | 1 | 09/24/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Benjamin Martin Dubinski | 5431069 | 1 | 09/06/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenny Herrera | 6527092 | 1 | 08/16/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |