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 |
|---|---|---|---|---|---|---|---|---|
| James Bryan Daniel | 3215291 | 1 | 05/02/2010 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kent D Ashley | 2232063 | 2 | 05/11/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Colleen Joy Lathrop | 5147578 | 3 | 03/27/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Paul Avril | 1203982 | 2 | 03/25/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael John Topp | 1129006 | 5 | 03/10/2009 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bernadette Marie Buckley | 4598592 | 2 | 09/30/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Dale Stein | 1289625 | 5 | 09/17/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ka Man Chan | 3141579 | 1 | 07/29/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| April Sams | 6775710 | 1 | 06/06/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Ellery Ladew | 5434408 | 1 | 06/02/2008 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |