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 |
|---|---|---|---|---|---|---|---|---|
| Robert Kelly McGee | 2395931 | 1 | 12/14/2015 | Customer Dispute | Settled | $475,816.00 | $0.00 | See FINRA Report |
| Michael Scott Rothberg | 2221472 | 1 | 10/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Salina Chorsai Lo | 2496744 | 1 | 09/15/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vincent James Paone | 2853097 | 1 | 09/08/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eric Shawnyee Tom | 1890823 | 12 | 08/19/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Eunie Y Lee | 5633181 | 1 | 08/17/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David John Champion | 1488352 | 2 | 08/04/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Sean Warner | 5860717 | 1 | 07/24/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph F Eppy | 2446648 | 2 | 06/09/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kent Leslie Wyse | 1070329 | 9 | 05/19/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |