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 |
|---|---|---|---|---|---|---|---|---|
| Martin James McAlpin | 1607538 | 3 | 06/27/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Karen Ann Orcutt | 4049023 | 2 | 06/18/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jason Matthew Tether | 2416112 | 1 | 06/13/2001 | Customer Dispute | Closed-No Action | $47,200.00 | $0.00 | See FINRA Report |
| Amy Jamrog | 2854405 | 2 | 06/11/2001 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| Keith Edward Padilla | 5422772 | 1 | 05/29/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Keith Joseph Alessi | 2651029 | 2 | 05/29/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frank Anthony Fasano | 2188567 | 3 | 05/25/2001 | Customer Dispute | Denied | $14,955.00 | $0.00 | See FINRA Report |
| Thomas James Kunkle | 2263516 | 4 | 05/18/2001 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Andrew Justin McCarthy | 4852591 | 1 | 05/15/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Jonathan Zager | 2248160 | 2 | 05/14/2001 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |