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 | 08/16/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Vincenzo Pietro Garganese | 6760844 | 1 | 08/05/2024 | Customer Dispute | Pending | $130,000.00 | $0.00 | See FINRA Report |
| Brian Evans | 7718712 | 2 | 05/31/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Moses Razeel Hollender | 3196268 | 6 | 05/28/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Richard Patrick Hagan | 2392157 | 9 | 05/07/2024 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Matthew Smart | 6726007 | 2 | 04/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Kevin Carl Gutwein | 2904262 | 1 | 03/25/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Adam Mahd | 4817500 | 2 | 02/26/2024 | Customer Dispute | Pending | $200,000.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 12/19/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| Catherine Denise Dressel | 6554407 | 4 | 10/24/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |