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 |
|---|---|---|---|---|---|---|---|---|
| Kevin Arthur Penrod | 2465500 | 4 | 07/08/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alan Lee Temkin | 1055172 | 2 | 07/07/2008 | Customer Dispute | Denied | $42,920.00 | $0.00 | See FINRA Report |
| Zvi Yehuda Rosenzweig | 4110421 | 3 | 07/03/2008 | Customer Dispute | Closed-No Action | $8,644.00 | $0.00 | See FINRA Report |
| Holly Brown Carroccio | 1691581 | 2 | 06/30/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jose Behar | 4129296 | 1 | 06/24/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Tom Alex Goodman | 4071345 | 1 | 06/23/2008 | Customer Dispute | Settled | $21,497.40 | $0.00 | See FINRA Report |
| Joan Kochik Murdaugh | 1101039 | 4 | 06/11/2008 | Customer Dispute | Closed-No Action | $11,500.00 | $0.00 | See FINRA Report |
| Bernard Joseph Audet | 1317819 | 7 | 06/06/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Keith Carriere | 1472994 | 2 | 05/28/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason James Dekeuster | 5127089 | 2 | 05/25/2008 | Customer Dispute | Settled | $146,881.00 | $0.00 | See FINRA Report |