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 |
|---|---|---|---|---|---|---|---|---|
| Wendy Louise Spinner | 4061254 | 1 | 02/06/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Michael Jerome Zepeda | 2655907 | 1 | 02/05/2009 | Customer Dispute | Settled | $74,500.00 | $0.00 | See FINRA Report |
| Kathleen Hull Degen | 1454189 | 1 | 02/03/2009 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Ann Raleigh Lang | 1256696 | 1 | 02/03/2009 | Customer Dispute | Denied | $1,000,000.00 | $0.00 | See FINRA Report |
| Mark Elliot Levine | 2340134 | 2 | 02/02/2009 | Customer Dispute | Denied | $330,000.00 | $0.00 | See FINRA Report |
| Louis Bryan Hoffman | 2358248 | 5 | 02/02/2009 | Customer Dispute | Denied | $330,000.00 | $0.00 | See FINRA Report |
| Shawn David Morin | 2622161 | 7 | 01/29/2009 | Customer Dispute | Denied | $5,072.68 | $0.00 | See FINRA Report |
| Arthur Roy Riley | 2060391 | 1 | 01/27/2009 | Customer Dispute | Denied | $64,708.90 | $0.00 | See FINRA Report |
| Paul Stefan Feigenbaum | 2699742 | 1 | 01/26/2009 | Customer Dispute | Denied | $29,958.60 | $0.00 | See FINRA Report |
| Bernard Joseph Audet | 1317819 | 7 | 01/23/2009 | Customer Dispute | Settled | $59,218.90 | $0.00 | See FINRA Report |