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 Fay | 1912317 | 2 | 02/10/2005 | Customer Dispute | Closed-No Action | $49,132.70 | $0.00 | See FINRA Report |
| Charles H Lundeen | 2700322 | 2 | 01/28/2005 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| John Ramsay Ellis | 1089311 | 1 | 01/21/2005 | Customer Dispute | Denied | $24,000.00 | $0.00 | See FINRA Report |
| George Phelps Becknell | 1619762 | 1 | 01/18/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Daniel Krupkowski | 1244603 | 6 | 01/07/2005 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Scott Marcin | 4563716 | 2 | 01/05/2005 | Customer Dispute | Settled | $5,744.50 | $0.00 | See FINRA Report |
| Arnold Maurice Stoller | 1070483 | 2 | 12/29/2004 | Customer Dispute | Denied | $2,500.00 | $0.00 | See FINRA Report |
| Jennie Ha Lam | 2349581 | 1 | 12/29/2004 | Customer Dispute | Denied | $5,921.60 | $0.00 | See FINRA Report |
| James William Cleary | 1155088 | 6 | 12/27/2004 | Customer Dispute | Denied | $14,213.00 | $0.00 | See FINRA Report |
| Danny Conti Mica | 2140698 | 1 | 12/20/2004 | Customer Dispute | Denied | $35,249.10 | $0.00 | See FINRA Report |