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 |
|---|---|---|---|---|---|---|---|---|
| Robin Price | 2863674 | 2 | 07/15/2004 | Customer Dispute | Denied | $18,408.10 | $0.00 | See FINRA Report |
| Duston Ladieu | 2986892 | 1 | 06/24/2004 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| John Joseph Farrelly | 801399 | 2 | 06/24/2004 | Customer Dispute | Denied | $8,000.00 | $0.00 | See FINRA Report |
| Douglas Jordan Licari | 1081503 | 4 | 06/21/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christine Louise Gerdelmann | 4458395 | 1 | 06/02/2004 | Customer Dispute | Settled | $613.35 | $0.00 | See FINRA Report |
| George Teng | 2101388 | 8 | 05/20/2004 | Customer Dispute | Closed-No Action | $6,069.91 | $0.00 | See FINRA Report |
| Peter John Emigh | 2338214 | 2 | 05/19/2004 | Customer Dispute | Settled | $688,272.00 | $0.00 | See FINRA Report |
| Bret Allan Hartung | 2376765 | 1 | 05/19/2004 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Harry Aloysius Carroll | 2617434 | 5 | 05/18/2004 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Eric Shawnyee Tom | 1890823 | 12 | 05/13/2004 | Customer Dispute | Denied | $63,543.40 | $0.00 | See FINRA Report |