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 |
|---|---|---|---|---|---|---|---|---|
| Jose Nino Huerta | 6681592 | 1 | 06/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Francis Harkins | 1994258 | 1 | 06/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cynthia Louise Block-Taylor | 2227300 | 9 | 06/04/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett A Thiery | 5179667 | 9 | 04/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dawn A Robinson | 5590032 | 1 | 03/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Monkarsh | 2967388 | 6 | 03/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Dale Stein | 1289625 | 5 | 01/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Warren Saperstein | 4389204 | 12 | 12/24/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brett A Thiery | 5179667 | 9 | 12/09/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Ryan Smith | 6094086 | 4 | 11/30/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |