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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Juan Rodriguez Rivera | 5419364 | 2 | 10/11/2018 | Customer Dispute | Settled | $463,417.00 | $0.00 | See FINRA Report |
| Michael Hugh Clark | 1054265 | 3 | 08/21/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Kevin John Canfield | 2286759 | 9 | 07/12/2018 | Customer Dispute | Settled | $100,001.00 | $0.00 | See FINRA Report |
| Anthony Michael Karabas | 1955495 | 1 | 05/24/2018 | Customer Dispute | Settled | $32,328.00 | $0.00 | See FINRA Report |
| David Anthony Hocker | 4306286 | 1 | 04/23/2018 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Mark Andrew Cramer | 1313587 | 4 | 04/20/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Paul Rask | 5960444 | 2 | 04/18/2018 | Customer Dispute | Settled | $26,732.60 | $0.00 | See FINRA Report |
| Phillip Edward Barringer | 6022891 | 1 | 04/13/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pedro Juan Rodriguez Rivera | 5419364 | 2 | 03/19/2018 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Sudesh Kumar Jain | 1325905 | 8 | 03/19/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |