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 |
|---|---|---|---|---|---|---|---|---|
| John Robert Kaine | 2608249 | 3 | 11/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Russell Rotman | 2050959 | 2 | 11/04/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Victor Vyas | 4152762 | 6 | 11/03/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Sheehan McGuirk | 1515375 | 6 | 11/02/2011 | Customer Dispute | Settled | $48,000.00 | $0.00 | See FINRA Report |
| Shane Daniel Gornik | 4729104 | 5 | 11/01/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eric Michael Gerhard | 5502642 | 2 | 11/01/2011 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Thomas William Marsh | 1226001 | 1 | 10/28/2011 | Customer Dispute | Denied | $38,634.40 | $0.00 | See FINRA Report |
| Christopher Lee Heerdegen | 2312011 | 1 | 10/25/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Donaldson Root | 5001548 | 2 | 10/25/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael F Moran | 4583235 | 1 | 10/21/2011 | Customer Dispute | Denied | $20,000.00 | $0.00 | See FINRA Report |