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 |
|---|---|---|---|---|---|---|---|---|
| Charles Joseph Dowds | 2073605 | 3 | 06/02/2009 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Douglas Jordan Licari | 1081503 | 4 | 05/29/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Joseph Sturges | 5192217 | 1 | 05/27/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey A Bailey | 2387047 | 1 | 05/26/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Abdul M Badruddin | 4889498 | 1 | 05/21/2009 | Customer Dispute | Denied | $110,000.00 | $0.00 | See FINRA Report |
| Brian Andrew Trippiedi | 2081717 | 1 | 05/18/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Gene Roether | 2903636 | 1 | 05/18/2009 | Customer Dispute | Settled | $1,454,290.00 | $0.00 | See FINRA Report |
| Phillip David Riley | 2354587 | 1 | 05/15/2009 | Customer Dispute | Denied | $50,000.00 | $0.00 | See FINRA Report |
| Michael Paul Darragh | 4099288 | 1 | 05/15/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Geoffrey Rampola Bernal | 2318441 | 1 | 05/14/2009 | Customer Dispute | Settled | $400,000.00 | $0.00 | See FINRA Report |