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 |
|---|---|---|---|---|---|---|---|---|
| Scott J Francis | 1134582 | 1 | 09/01/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Martha Lillian Slaight | 4739582 | 1 | 08/31/2011 | Customer Dispute | Denied | $7,500.00 | $0.00 | See FINRA Report |
| Tammy Lau | 5788806 | 1 | 08/29/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Thomas John Wieczerak | 2168759 | 2 | 08/18/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kevin John Canfield | 2286759 | 9 | 08/18/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Anthony Gigante | 1808104 | 4 | 08/18/2011 | Customer Dispute | Settled | $180,000.00 | $0.00 | See FINRA Report |
| Andy Geunhong Kim | 4356437 | 1 | 08/10/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lawrence Henry Nold | 2565571 | 1 | 08/08/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Mathew Kavumpurath | 2238002 | 3 | 08/02/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Dexter L Baker | 2995602 | 2 | 07/28/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |