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 |
|---|---|---|---|---|---|---|---|---|
| Jason Lee Peeples | 1093757 | 4 | 06/30/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Kevin Arthur Penrod | 2465500 | 4 | 06/28/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jarrod C Desantis | 5397557 | 1 | 06/21/2012 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Alejandro Pena | 2768408 | 3 | 06/21/2012 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael T Dimos | 4378269 | 1 | 06/15/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Jay Goldwasser | 2133213 | 1 | 06/06/2012 | Customer Dispute | Denied | $8,517.88 | $0.00 | See FINRA Report |
| Rong Shen | 5092338 | 4 | 05/08/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Edward Eric Zang | 4171605 | 1 | 05/07/2012 | Customer Dispute | Closed-No Action | $23,000.00 | $0.00 | See FINRA Report |
| Eric Shawnyee Tom | 1890823 | 12 | 05/02/2012 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gordon Marshfield Kimpel | 822176 | 1 | 04/24/2012 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |