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 |
|---|---|---|---|---|---|---|---|---|
| Christina Xian Liu | 2875982 | 2 | 10/19/2007 | Customer Dispute | Denied | $26,770.00 | $0.00 | See FINRA Report |
| Robert Patrick Vona | 2053896 | 5 | 10/13/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kevin Arthur Penrod | 2465500 | 4 | 10/08/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Patrick Vona | 2053896 | 5 | 09/21/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ross Mayer | 323995 | 3 | 09/13/2007 | Customer Dispute | Denied | $127,301.00 | $0.00 | See FINRA Report |
| Alan Curtis Turner | 2274688 | 3 | 09/10/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brock Thomas Jolly | 4360455 | 3 | 09/07/2007 | Customer Dispute | Denied | $52,445.00 | $0.00 | See FINRA Report |
| Joe Alberto Cerda | 1983760 | 1 | 09/05/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ali Mahallati | 2103381 | 2 | 08/10/2007 | Customer Dispute | Denied | $17,500.00 | $0.00 | See FINRA Report |
| Lisa Shipp Frankovich | 5529439 | 1 | 08/08/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |