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 |
|---|---|---|---|---|---|---|---|---|
| Ryan E Riggs | 4901938 | 1 | 12/26/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Vincent Deer | 4207491 | 1 | 12/20/2001 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Kevin Michael Mullaney | 1389257 | 4 | 12/19/2001 | Customer Dispute | Settled | $1,500,000.00 | $0.00 | See FINRA Report |
| Eileen Cioe | 1501017 | 10 | 11/30/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James Kenneth Krueger | 1637849 | 3 | 11/26/2001 | Customer Dispute | Denied | $81,654.40 | $0.00 | See FINRA Report |
| Douglas James Rechtine | 1592454 | 2 | 11/23/2001 | Customer Dispute | Denied | $6,852.76 | $0.00 | See FINRA Report |
| John Pier Desmond | 1038830 | 2 | 11/14/2001 | Customer Dispute | Denied | $25,000.00 | $0.00 | See FINRA Report |
| Roland Francis Gaudette | 711917 | 5 | 11/07/2001 | Customer Dispute | Denied | $5,300.00 | $0.00 | See FINRA Report |
| Brad Alan Berkowitz | 2171344 | 1 | 11/02/2001 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Randy Louis Rosen | 1096664 | 3 | 10/22/2001 | Customer Dispute | Settled | $11,700.00 | $0.00 | See FINRA Report |