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 |
|---|---|---|---|---|---|---|---|---|
| Eunie Y Lee | 5633181 | 1 | 08/17/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pietro Salvatore Ruggeri | 5008557 | 1 | 08/13/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas John Trea | 2050987 | 3 | 08/05/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Teng | 2101388 | 8 | 08/04/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David John Champion | 1488352 | 2 | 08/04/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Warner | 5860717 | 1 | 07/24/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Oneal Sharpton | 3204927 | 1 | 07/22/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ali Mahallati | 2103381 | 2 | 07/15/2015 | Customer Dispute | Denied | $8,079.37 | $0.00 | See FINRA Report |
| Jeffrey Arthur Smith | 4360471 | 8 | 07/01/2015 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |
| Richard Ashleigh Fortune | 1501384 | 6 | 06/15/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |