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 |
|---|---|---|---|---|---|---|---|---|
| Janice Junghwa Ahn | 3158875 | 2 | 01/03/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Casey Scott Johnson | 5506431 | 1 | 12/26/2012 | Customer Dispute | Closed-No Action | $20,000.00 | $0.00 | See FINRA Report |
| Brian Thomas Paquette | 5965577 | 2 | 12/10/2012 | Customer Dispute | Denied | $7,771.26 | $0.00 | See FINRA Report |
| Tony Roberts | 2691066 | 3 | 12/04/2012 | Customer Dispute | Settled | $135,000.00 | $0.00 | See FINRA Report |
| Elizabeth Harris Sloan | 2119880 | 3 | 11/30/2012 | Customer Dispute | Closed-No Action | $750,000.00 | $0.00 | See FINRA Report |
| Jeremiah Williamson | 4601148 | 2 | 11/29/2012 | Customer Dispute | Settled | $168,451.00 | $0.00 | See FINRA Report |
| Donald Jerome Norse | 1971396 | 1 | 11/21/2012 | Customer Dispute | Withdrawn | $33,297.30 | $0.00 | See FINRA Report |
| Kenneth Sydney Kaufman | 4167959 | 3 | 11/19/2012 | Customer Dispute | Settled | $508,385.00 | $0.00 | See FINRA Report |
| Jeremy Todd Lindquist | 3198807 | 4 | 11/16/2012 | Customer Dispute | Withdrawn | $13,800.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 11/09/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |