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 |
|---|---|---|---|---|---|---|---|---|
| Brian Norton Caine | 1581620 | 1 | 12/23/1998 | Customer Dispute | Closed-No Action | $223,000.00 | $0.00 | See FINRA Report |
| Leonora Lang Brisotti | 2127124 | 2 | 12/01/1998 | Customer Dispute | Settled | $17,007.20 | $0.00 | See FINRA Report |
| Vasilios Savas Haralambous | 2921621 | 5 | 09/08/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Melchiorre Colombo | 1188143 | 5 | 08/21/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jared Seth Levy | 2402343 | 1 | 08/06/1998 | Customer Dispute | Closed-No Action | $40,000.00 | $0.00 | See FINRA Report |
| Sydney Joseph Khedouri | 268915 | 1 | 04/14/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Warren Brandies | 28849 | 3 | 04/02/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Roland Francis Gaudette | 711917 | 5 | 02/18/1998 | Customer Dispute | Closed-No Action | $3,800.00 | $0.00 | See FINRA Report |
| Alicia Thuy Chau | 2292651 | 1 | 02/03/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Joseph Alessi | 2651029 | 2 | 01/15/1998 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |