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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Sheehan McGuirk | 1515375 | 6 | 05/09/2006 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Bernard Joseph Audet | 1317819 | 7 | 05/01/2006 | Customer Dispute | Settled | $742,915.00 | $0.00 | See FINRA Report |
| Daniel Eric Simon | 2962017 | 3 | 04/20/2006 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Donald L Gretta | 1917770 | 1 | 04/19/2006 | Customer Dispute | Settled | $26,243.00 | $0.00 | See FINRA Report |
| James William Toth | 1241042 | 1 | 04/12/2006 | Customer Dispute | Settled | $110,037.00 | $0.00 | See FINRA Report |
| Susan Kay Sparr | 1028865 | 1 | 03/06/2006 | Customer Dispute | Settled | $20.00 | $0.00 | See FINRA Report |
| John Pier Desmond | 1038830 | 2 | 02/08/2006 | Customer Dispute | Settled | $17,480.00 | $0.00 | See FINRA Report |
| Kevin John Canfield | 2286759 | 9 | 12/06/2005 | Customer Dispute | Settled | $450,000.00 | $0.00 | See FINRA Report |
| Harry Aloysius Carroll | 2617434 | 5 | 11/07/2005 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| James Patrick McGoldrick | 2111453 | 2 | 11/03/2005 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |