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 |
|---|---|---|---|---|---|---|---|---|
| Kamilah Simpson | 6228596 | 1 | 11/30/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Eric Shawnyee Tom | 1890823 | 12 | 11/28/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Moses Razeel Hollender | 3196268 | 6 | 11/13/2022 | Customer Dispute | Denied | $57,173.50 | $0.00 | See FINRA Report |
| Fredric Robert Horowitz | 250382 | 3 | 11/04/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Samuel Howard Schiffer | 2181288 | 1 | 11/01/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Daniel T Del Guercio | 7311758 | 3 | 10/28/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Andrew James Cardile | 5700023 | 1 | 10/24/2022 | Customer Dispute | Denied | $45,711.10 | $0.00 | See FINRA Report |
| Ryon Kevin Frisch | 5005383 | 1 | 10/17/2022 | Customer Dispute | Settled | $150,395.00 | $0.00 | See FINRA Report |
| James John Oboyle | 2721379 | 5 | 10/04/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Corey Robert Miller | 5597081 | 2 | 10/02/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |