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 |
|---|---|---|---|---|---|---|---|---|
| Thomas James Kunkle | 2263516 | 4 | 03/04/2011 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Ryan Klose | 2520515 | 1 | 02/28/2011 | Customer Dispute | Settled | $115,000.00 | $0.00 | See FINRA Report |
| Shawn David Morin | 2622161 | 7 | 02/23/2011 | Customer Dispute | Settled | $36,000.00 | $0.00 | See FINRA Report |
| Michael James Middleton | 2995457 | 3 | 01/29/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Anthony Mendes | 3154005 | 1 | 01/28/2011 | Customer Dispute | Settled | $66,000.00 | $0.00 | See FINRA Report |
| Raymond Michael Congelosi | 1879030 | 1 | 01/26/2011 | Customer Dispute | Settled | $55,481.00 | $0.00 | See FINRA Report |
| Sudesh Kumar Jain | 1325905 | 8 | 01/19/2011 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Paul Alan Kaeterle | 2181522 | 2 | 12/30/2010 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |
| Roland Cuellar | 2201709 | 3 | 12/28/2010 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Ward Naylor | 1299505 | 2 | 11/12/2010 | Customer Dispute | Settled | $45,000.00 | $0.00 | See FINRA Report |