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 |
|---|---|---|---|---|---|---|---|---|
| James Alex | 5848814 | 1 | 04/11/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Allan Brett Zucker | 3004384 | 1 | 04/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Lee Price | 4666328 | 3 | 04/03/2019 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |
| Matthew Joseph Higgins | 6499135 | 2 | 03/20/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Leon Michael Almeida | 5645472 | 4 | 03/20/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Lamego | 5367517 | 1 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Frederick Slattery | 1154405 | 2 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Li Ping Wang | 1952742 | 1 | 03/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Teng | 2101388 | 8 | 02/28/2019 | Customer Dispute | Denied | $118,826.00 | $0.00 | See FINRA Report |
| Michael Patrick Root | 2723359 | 2 | 02/01/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |