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 |
|---|---|---|---|---|---|---|---|---|
| David Michael Becker | 1086631 | 1 | 11/02/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Harry Martin | 1033184 | 1 | 11/02/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| D'Cater Fred Joseph | 1635247 | 1 | 10/27/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin John Canfield | 2286759 | 9 | 10/23/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Winsome Elaine Goodale | 1745670 | 3 | 08/07/2012 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Jeffrey Carl Dollarhide | 2547923 | 2 | 08/06/2012 | Customer Dispute | Settled | $8,017.05 | $0.00 | See FINRA Report |
| Kenneth Eric Growney | 1761582 | 1 | 07/27/2012 | Customer Dispute | Denied | $8,804.55 | $0.00 | See FINRA Report |
| David Hugh Root | 1403460 | 4 | 07/20/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barry Robert Finn | 4883513 | 1 | 07/19/2012 | Customer Dispute | Closed-No Action | $50,142.00 | $0.00 | See FINRA Report |
| Steven Matthew Kaplan | 5195876 | 2 | 07/09/2012 | Customer Dispute | Denied | $7,200.00 | $0.00 | See FINRA Report |