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 |
|---|---|---|---|---|---|---|---|---|
| Fredric Robert Horowitz | 250382 | 3 | 11/04/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Howard Schiffer | 2181288 | 1 | 11/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Andrew James Cardile | 5700023 | 1 | 10/24/2022 | Customer Dispute | Denied | $45,711.10 | $0.00 | See FINRA Report |
| Ryon Kevin Frisch | 5005383 | 1 | 10/17/2022 | Customer Dispute | Settled | $150,395.00 | $0.00 | See FINRA Report |
| Corey Robert Miller | 5597081 | 2 | 10/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Owens Ahonen | 1349069 | 1 | 09/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodd Shannon McMinn | 2340048 | 2 | 09/22/2022 | Customer Dispute | Denied | $107,770.00 | $0.00 | See FINRA Report |
| John D Richardson | 4914865 | 1 | 09/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shane Daniel Gornik | 4729104 | 5 | 08/02/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael Il Yoon | 6348923 | 2 | 07/14/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |