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 |
|---|---|---|---|---|---|---|---|---|
| Wayne Frederick Slattery | 1154405 | 2 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Li Ping Wang | 1952742 | 1 | 03/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| George Teng | 2101388 | 8 | 02/28/2019 | Customer Dispute | Denied | $118,826.00 | $0.00 | See FINRA Report |
| Douglas James Rechtine | 1592454 | 2 | 01/24/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jay V Petty | 2895602 | 1 | 01/18/2019 | Customer Dispute | Denied | $215,859.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 01/17/2019 | Customer Dispute | Denied | $60,000.00 | $0.00 | See FINRA Report |
| Jason James Dekeuster | 5127089 | 2 | 01/10/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Cheryl Diane Richardson | 1807190 | 4 | 12/26/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rachelle L Snyder | 4944088 | 1 | 11/05/2018 | Customer Dispute | Denied | $101,526.00 | $0.00 | See FINRA Report |
| Kent Leslie Wyse | 1070329 | 9 | 10/25/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |