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 |
|---|---|---|---|---|---|---|---|---|
| Zvi Yehuda Rosenzweig | 4110421 | 3 | 11/05/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sudesh Kumar Jain | 1325905 | 8 | 11/03/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Thomas Murphy | 4374331 | 2 | 10/28/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| George Irving Lambrix | 1261093 | 1 | 10/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Pitera | 2873479 | 1 | 10/20/2020 | Customer Dispute | Denied | $199,636.00 | $0.00 | See FINRA Report |
| Helen Marie Smith | 1702930 | 2 | 10/20/2020 | Customer Dispute | Denied | $199,636.00 | $0.00 | See FINRA Report |
| Hui Liu | 5478774 | 1 | 10/02/2020 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Kenneth J Conway | 2304235 | 2 | 09/30/2020 | Customer Dispute | Settled | $14,000.00 | $0.00 | See FINRA Report |
| Peter Everett Cassell | 1905981 | 1 | 08/25/2020 | Customer Dispute | Denied | $13,584.60 | $0.00 | See FINRA Report |
| Mark Jerome Lasko | 2141860 | 2 | 08/18/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |