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 David Wolpert | 2692529 | 7 | 12/19/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| James David Vavonese | 5411110 | 1 | 12/18/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Katherine Ruth McLernon | 2108915 | 3 | 12/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shon Ivan McLain | 4141062 | 1 | 12/01/2023 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |
| Renisha Cantrell Jackson-Rucker | 5539713 | 3 | 11/15/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Paul Jr Sunter | 1052047 | 1 | 11/14/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lien Kim Nguyen | 2662699 | 1 | 11/14/2023 | Customer Dispute | Denied | $407,142.00 | $0.00 | See FINRA Report |
| Roy Bourdett Salmon | 2000555 | 1 | 11/13/2023 | Customer Dispute | Denied | $40,800.00 | $0.00 | See FINRA Report |
| Cody Michael Keller | 6669454 | 2 | 11/03/2023 | Customer Dispute | Closed-No Action | $5,410.00 | $0.00 | See FINRA Report |
| Jason Eric Heller | 4205410 | 2 | 11/03/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |