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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Patrick Zanovich | 3176888 | 2 | 03/16/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Yuda Jiang | 3012495 | 2 | 03/09/2011 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Thomas James Kunkle | 2263516 | 4 | 03/04/2011 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Joshua Hyangjea Oh | 3131833 | 1 | 03/03/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Klose | 2520515 | 1 | 02/28/2011 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Steven Donald Gengler | 1028098 | 1 | 02/24/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Shawn David Morin | 2622161 | 7 | 02/23/2011 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Sheila Sui Lai Chau | 1299779 | 3 | 02/08/2011 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Barbara Koppelkiernan | 1358170 | 3 | 02/02/2011 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Michael James Middleton | 2995457 | 3 | 01/29/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |