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 |
|---|---|---|---|---|---|---|---|---|
| James William Cleary | 1155088 | 6 | 05/06/2005 | Customer Dispute | Denied | $76,000.00 | $0.00 | See FINRA Report |
| Robert Allan Blundon | 1788164 | 1 | 05/05/2005 | Customer Dispute | Settled | $1,050.00 | $0.00 | See FINRA Report |
| Cheryl Diane Richardson | 1807190 | 4 | 05/05/2005 | Customer Dispute | Settled | $1,690.00 | $0.00 | See FINRA Report |
| Stephen Sheehan McGuirk | 1515375 | 6 | 04/19/2005 | Customer Dispute | Denied | $29,000.00 | $0.00 | See FINRA Report |
| Li Zhu | 2421424 | 6 | 04/04/2005 | Customer Dispute | Denied | $14,000.00 | $0.00 | See FINRA Report |
| Shaker Mohamed Sherif | 2573113 | 2 | 04/04/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scott Sharkey | 2494527 | 5 | 03/21/2005 | Customer Dispute | Denied | $12,567.00 | $0.00 | See FINRA Report |
| Joseph Mathew Kavumpurath | 2238002 | 3 | 03/15/2005 | Customer Dispute | Closed-No Action | $19,250.00 | $0.00 | See FINRA Report |
| Stephen Craig Retterer | 711733 | 2 | 03/10/2005 | Customer Dispute | Denied | $119,994.00 | $0.00 | See FINRA Report |
| Gregory Paul Borgosz | 2050630 | 1 | 03/03/2005 | Customer Dispute | Denied | $23,000.00 | $0.00 | See FINRA Report |