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 |
|---|---|---|---|---|---|---|---|---|
| Seth Raynor Waltz | 4579332 | 1 | 04/06/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Wayne Hawkins | 6151441 | 1 | 03/31/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Barbara Koppelkiernan | 1358170 | 3 | 03/27/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Helen Marie Smith | 1702930 | 2 | 03/17/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer Leigh Salemme | 7389172 | 2 | 03/17/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Anh Luong Tho Nguyen | 5843381 | 1 | 03/17/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ryan Owsichek | 7418751 | 5 | 03/15/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jongsik Kim | 1617686 | 4 | 03/10/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeffrey C Goering | 5850934 | 1 | 03/09/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David MacChia | 6136389 | 1 | 03/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |