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 |
|---|---|---|---|---|---|---|---|---|
| George Davis Avant | 1386018 | 2 | 07/11/2006 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| James Patrick Taylor | 443251 | 1 | 07/11/2006 | Customer Dispute | Denied | $27,395.30 | $0.00 | See FINRA Report |
| Harvey Lee Keeney | 842523 | 2 | 06/27/2006 | Customer Dispute | Denied | $41,525.00 | $0.00 | See FINRA Report |
| Bharat Bhushan Sondhi | 1749751 | 1 | 06/19/2006 | Customer Dispute | Denied | $6,583.39 | $0.00 | See FINRA Report |
| Christopher Patrick Furrule | 2641150 | 1 | 06/16/2006 | Customer Dispute | Denied | $6,150.54 | $0.00 | See FINRA Report |
| Joseph Bernard Manley | 1177345 | 1 | 06/09/2006 | Customer Dispute | Denied | $5,120.00 | $0.00 | See FINRA Report |
| Robert Wells Lucke | 2286080 | 1 | 06/07/2006 | Customer Dispute | Denied | $6,241.80 | $0.00 | See FINRA Report |
| Stephen Sheehan McGuirk | 1515375 | 6 | 05/09/2006 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bernard Joseph Audet | 1317819 | 7 | 05/01/2006 | Customer Dispute | Settled | $742,915.00 | $0.00 | See FINRA Report |
| Daniel Eric Simon | 2962017 | 3 | 04/20/2006 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |