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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Arthur Smith | 4360471 | 8 | 09/23/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Warren Saperstein | 4389204 | 12 | 06/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Marie Syner | 1254318 | 2 | 05/20/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joanne Marie Beaton | 1870572 | 5 | 05/14/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Ray Wallen | 6581986 | 1 | 04/17/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony James Sgroi | 5608516 | 4 | 04/10/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Stuart Hirson | 5432472 | 3 | 02/27/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kathleen Marie Syner | 1254318 | 2 | 01/15/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ronald Clemente Davis | 1961843 | 5 | 12/21/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cynthia Louise Block-Taylor | 2227300 | 9 | 12/04/2012 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |