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 |
|---|---|---|---|---|---|---|---|---|
| Robert Charles Carty | 1280889 | 1 | 05/07/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Leonid Yelkin | 2408669 | 1 | 04/08/2009 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Fay | 1912317 | 2 | 09/09/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sheila Anne Groth | 4260755 | 2 | 04/14/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Janis Lee Dunworth | 1504284 | 1 | 03/18/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Charles Schneck | 804598 | 1 | 02/13/2008 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stacey Marie Wisman | 4900207 | 1 | 04/03/2006 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Lee Williams | 708019 | 4 | 11/14/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brandon Dale Robert Brooke | 4348027 | 1 | 10/26/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Michael Kaplan | 4701315 | 1 | 02/04/2005 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |