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 |
|---|---|---|---|---|---|---|---|---|
| William Owens Ahonen | 1349069 | 1 | 09/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rodd Shannon McMinn | 2340048 | 2 | 09/22/2022 | Customer Dispute | Denied | $107,770.00 | $0.00 | See FINRA Report |
| John D Richardson | 4914865 | 1 | 09/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shane Daniel Gornik | 4729104 | 5 | 08/02/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Stanley Marion Ingram | 840304 | 1 | 07/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Patchcoski | 4835229 | 1 | 07/13/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| David A. Wachter | 5734478 | 1 | 07/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Warren Dean Cates | 6724075 | 2 | 07/05/2022 | Customer Dispute | Denied | $46,857.00 | $0.00 | See FINRA Report |
| David William Gibson | 2092645 | 2 | 07/05/2022 | Customer Dispute | Denied | $46,857.00 | $0.00 | See FINRA Report |
| Joshua von Steinfeld | 5560704 | 2 | 06/24/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |