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 |
|---|---|---|---|---|---|---|---|---|
| Austin Lucas Mercado | 6321740 | 2 | 04/27/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Austin Lucas Mercado | 6321740 | 2 | 04/13/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Yunhee W Lee | 2081131 | 1 | 04/08/2007 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Van Michael Hess | 4838724 | 1 | 11/30/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Isaac Gershkowitz | 5145407 | 1 | 11/26/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Earl Hall | 6143077 | 1 | 10/20/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Adam Hurd | 5610356 | 1 | 07/27/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Derek P Happy | 5611238 | 2 | 07/10/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Frank Anthony Fasano | 2188567 | 3 | 05/30/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Nicola Ottavio Caporaso | 4625003 | 5 | 05/15/2006 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |