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 | 06/22/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Scott Pollack | 2124816 | 4 | 06/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Javid Reza Mortazavi | 5928123 | 1 | 05/17/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Louis Reda | 4527060 | 4 | 05/16/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joshua Lyndon Carter | 6287193 | 1 | 05/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katherine A Lewis | 3032234 | 2 | 05/08/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark David Wolpert | 2692529 | 7 | 05/02/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Owsichek | 7418751 | 5 | 03/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey C Goering | 5850934 | 1 | 03/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Christopher Bryant Collins | 6796906 | 2 | 02/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |