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 |
|---|---|---|---|---|---|---|---|---|
| Warren Brandies | 28849 | 3 | 04/14/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Mario Minieri | 1195018 | 5 | 02/05/1993 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Whitney Coogan | 724714 | 5 | 08/11/1992 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Matthew Jude Capone | 1017593 | 5 | 07/22/1992 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Matthew Jude Capone | 1017593 | 5 | 06/17/1992 | Customer Dispute | Award / Judgment | $1,120,560.00 | $301,250.00 | See FINRA Report |
| Paul George Stappas | 859437 | 2 | 05/21/1992 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Clark Selwyn Ullom | 844147 | 6 | 10/22/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Arnie David Bergman | 1338888 | 3 | 08/14/1991 | Customer Dispute | Settled | $23,974.30 | $0.00 | See FINRA Report |
| William Abe Frankenstein | 1027453 | 5 | 12/20/1990 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |
| John Whitney Coogan | 724714 | 5 | 07/23/1990 | Customer Dispute | Settled | $18,000.00 | $0.00 | See FINRA Report |