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 Moshe Shamash | 5801423 | 2 | 10/18/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Patrick Lamb | 1205856 | 1 | 10/17/2011 | Customer Dispute | Denied | $5,295.47 | $0.00 | See FINRA Report |
| Kathryn Louise Fitzgerald | 1411000 | 2 | 10/10/2011 | Customer Dispute | Closed-No Action | $5,000.00 | $0.00 | See FINRA Report |
| Roland Francis Gaudette | 711917 | 5 | 10/07/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael William Defoney | 2601359 | 2 | 09/30/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mark Monkarsh | 2967388 | 6 | 09/28/2011 | Customer Dispute | Denied | $200,000.00 | $0.00 | See FINRA Report |
| Ross Mayer | 323995 | 3 | 09/23/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Sean Taylor | 5623740 | 1 | 09/16/2011 | Customer Dispute | Denied | $7,625.00 | $0.00 | See FINRA Report |
| George Davis Avant | 1386018 | 2 | 09/06/2011 | Customer Dispute | Denied | $13,919.40 | $0.00 | See FINRA Report |
| John David McDowell | 4040830 | 1 | 09/05/2011 | Customer Dispute | Denied | $46,300.00 | $0.00 | See FINRA Report |