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 |
|---|---|---|---|---|---|---|---|---|
| Eric Shawnyee Tom | 1890823 | 12 | 07/26/2013 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Sheila Sui Lai Chau | 1299779 | 3 | 07/23/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Moshe Shamash | 5801423 | 2 | 07/22/2013 | Customer Dispute | Settled | $9,500.00 | $0.00 | See FINRA Report |
| Maurice K Clarke | 4823388 | 3 | 07/19/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Shawnyee Tom | 1890823 | 12 | 07/18/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Edward Kenneth Kovac | 4142199 | 2 | 07/12/2013 | Customer Dispute | Closed-No Action | $76,941.00 | $0.00 | See FINRA Report |
| Eugene Louis Rodriguez | 5168758 | 1 | 07/05/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Scott Conti | 2314300 | 1 | 06/27/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Carl Ruff | 1856977 | 3 | 06/21/2013 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Lloyd Mayer | 4036612 | 5 | 06/21/2013 | Customer Dispute | Settled | $96,000.00 | $0.00 | See FINRA Report |