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 |
|---|---|---|---|---|---|---|---|---|
| Harvey David Silverman | 424071 | 2 | 10/06/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Lucien Kashmanian | 6163778 | 1 | 09/28/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gary Lee Wise | 2108509 | 1 | 09/26/2023 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Adam Gross | 3080320 | 2 | 09/26/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Catherine Denise Dressel | 6554407 | 4 | 09/25/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Catherine Denise Dressel | 6554407 | 4 | 09/25/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| David Scott Pollack | 2124816 | 4 | 09/24/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Krista Mayhew | 4875585 | 2 | 09/20/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Zvi Yehuda Rosenzweig | 4110421 | 3 | 09/18/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brian Stuart Grodin | 2119770 | 1 | 09/13/2023 | Investigation | $0.00 | $0.00 | See FINRA Report |