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 |
|---|---|---|---|---|---|---|---|---|
| Jesse Michael Polk | 5794306 | 2 | 05/29/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Catherine Rochelle Mattera | 5415273 | 3 | 05/24/2017 | Customer Dispute | Settled | $397,237.00 | $0.00 | See FINRA Report |
| Bernard Joseph Audet | 1317819 | 7 | 04/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Raymond Dearden | 4734816 | 1 | 04/12/2017 | Customer Dispute | Denied | $39,144.30 | $0.00 | See FINRA Report |
| Joseph Vincent Naselli | 344988 | 2 | 04/12/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Stephen Curry | 3176148 | 1 | 04/10/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Kwun Pong Lau | 4717237 | 2 | 04/03/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Bradley | 4475085 | 4 | 03/30/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Joseph Lavo | 1185209 | 3 | 03/30/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Daniel Vincent Marcotte | 2844226 | 1 | 03/28/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |