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 |
|---|---|---|---|---|---|---|---|---|
| Bryce Louis Miller | 5604406 | 1 | 12/18/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Cataldo | 1039290 | 2 | 12/16/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Laurence Reetz | 1779546 | 1 | 12/10/2009 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Kevin John Canfield | 2286759 | 9 | 12/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Harris Steven Fishman | 2113268 | 1 | 12/09/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Alison Mills Gardner | 1276578 | 1 | 11/30/2009 | Customer Dispute | Settled | $198,000.00 | $0.00 | See FINRA Report |
| Anthony Botte | 5191743 | 1 | 10/31/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Stanley Joseph Fleming | 2661060 | 1 | 10/28/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John David Funk | 215849 | 1 | 10/26/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Yu Chen | 3069418 | 1 | 10/21/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |