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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Anthony Gallagher | 1976385 | 5 | 08/20/1999 | Customer Dispute | Closed-No Action | $9,029.59 | $0.00 | See FINRA Report |
| Debra Ann Bailer | 1274395 | 1 | 08/03/1999 | Customer Dispute | Closed-No Action | $50,000.00 | $0.00 | See FINRA Report |
| Jason Leon Adkins | 4552954 | 1 | 07/23/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Randy Louis Rosen | 1096664 | 3 | 07/13/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Mark Abbey Varon | 2475603 | 1 | 06/15/1999 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| David Alan Belinkie | 4648491 | 1 | 06/14/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jay Alfred Rovert | 1063815 | 1 | 06/02/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marc Michael Friedland | 813379 | 1 | 05/14/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jongsik Kim | 1617686 | 4 | 05/13/1999 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ricardo Miguel Garcia Ramirez-Gaston | 6050148 | 2 | 05/01/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |