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 |
|---|---|---|---|---|---|---|---|---|
| Mark Abbey Varon | 2475603 | 1 | 06/15/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Marc Michael Friedland | 813379 | 1 | 05/14/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Cataldo | 1039290 | 2 | 03/29/1999 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Thomas Ward Naylor | 1299505 | 2 | 02/24/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jongsik Kim | 1617686 | 5 | 02/04/1999 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Edward Sidney Felsenthal | 206089 | 1 | 02/01/1999 | Customer Dispute | Denied | $12,811.00 | $0.00 | See FINRA Report |
| Robert Jacob Freilicher | 2024617 | 1 | 01/11/1999 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| 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 |
| Charles Daniel Paff | 355109 | 2 | 10/14/1998 | Customer Dispute | Settled | $107,962.00 | $0.00 | See FINRA Report |