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 |
|---|---|---|---|---|---|---|---|---|
| Joel Warren Saperstein | 4389204 | 12 | 04/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 04/11/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William J Condon | 4750224 | 2 | 02/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Cui | 6285655 | 3 | 02/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Danielle M Dilella | 5912582 | 1 | 02/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jill Song Therrien | 5615464 | 1 | 01/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriel Bustamante | 5264619 | 3 | 01/10/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scott Sharkey | 2494527 | 5 | 12/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Steven Lewis | 7409469 | 2 | 11/12/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Steven A Cohen | 2566075 | 1 | 08/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |