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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Anthony Gallagher | 1976385 | 5 | 12/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vladimir Fikhman | 2315449 | 3 | 12/03/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jayms Bradley Dickson | 2260301 | 1 | 10/29/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| James Joseph McNamara | 1002809 | 2 | 09/10/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Eugene Alexander Moisey | 1668202 | 1 | 09/09/1997 | Customer Dispute | Settled | $117,000.00 | $0.00 | See FINRA Report |
| David Edward Mahler | 1057162 | 1 | 08/28/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Craig Retterer | 711733 | 2 | 11/07/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony David Scott | 1269356 | 2 | 09/24/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Christopher McGowan | 2065571 | 1 | 02/12/1996 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Allen Grenda | 1635222 | 3 | 11/17/1995 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |