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 |
|---|---|---|---|---|---|---|---|---|
| Rodd Shannon McMinn | 2340048 | 2 | 10/11/2001 | Customer Dispute | Denied | $75,000.00 | $0.00 | See FINRA Report |
| Jeffrey John Snider | 2277004 | 1 | 10/09/2001 | Customer Dispute | Denied | $98,000.00 | $0.00 | See FINRA Report |
| Eileen Cioe | 1501017 | 10 | 10/08/2001 | Customer Dispute | Denied | $65,000.00 | $0.00 | See FINRA Report |
| Brady Todd Westphal | 2249293 | 2 | 09/18/2001 | Customer Dispute | Settled | $91,292.20 | $0.00 | See FINRA Report |
| Britt Eckman Clanton | 4781318 | 1 | 09/14/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas James Kunkle | 2263516 | 4 | 09/11/2001 | Customer Dispute | Settled | $22,265.50 | $0.00 | See FINRA Report |
| Sanjay Prasad | 2245811 | 1 | 09/07/2001 | Customer Dispute | Award / Judgment | $72,000.00 | $37,500.00 | See FINRA Report |
| Robert Charles Herdler | 2846089 | 1 | 08/28/2001 | Customer Dispute | Denied | $10,381.00 | $0.00 | See FINRA Report |
| Kenneth B Baron | 4007908 | 1 | 08/03/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Patrick Hood | 5434397 | 1 | 08/02/2001 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |