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 |
|---|---|---|---|---|---|---|---|---|
| Matthew William Geherin | 1432845 | 3 | 01/31/2003 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Daniel Krupkowski | 1244603 | 6 | 01/24/2003 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Joseph Dowds | 2073605 | 3 | 01/23/2003 | Customer Dispute | Denied | $51,000.00 | $0.00 | See FINRA Report |
| Daniel Scott Bravo | 3041465 | 1 | 01/16/2003 | Customer Dispute | Denied | $46,070.40 | $0.00 | See FINRA Report |
| David Noel Morales | 1702749 | 3 | 01/16/2003 | Customer Dispute | Award / Judgment | $275,000.00 | $145,000.00 | See FINRA Report |
| Stephen Sercheow Koh | 1553631 | 3 | 01/09/2003 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Brian Charles Henderson | 1299692 | 6 | 12/26/2002 | Customer Dispute | Settled | $5,273.94 | $0.00 | See FINRA Report |
| Kenneth J Speroni | 6628674 | 1 | 12/10/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David John Mingori | 2336636 | 1 | 12/06/2002 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Joseph Abdallah Waked | 2160053 | 1 | 12/06/2002 | Customer Dispute | Denied | $12,582.90 | $0.00 | See FINRA Report |