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 |
|---|---|---|---|---|---|---|---|---|
| Dennis Gomes | 5655010 | 1 | 04/19/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Michael Cataldo | 1039290 | 2 | 03/29/1999 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Mark Daniel Krupkowski | 1244603 | 6 | 03/24/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Juan Raul Cisneros | 5866666 | 1 | 03/23/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Ward Naylor | 1299505 | 2 | 02/24/1999 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Jongsik Kim | 1617686 | 4 | 02/04/1999 | Customer Dispute | Settled | $230,000.00 | $0.00 | See FINRA Report |
| Edward Sidney Felsenthal | 206089 | 1 | 02/01/1999 | Customer Dispute | Denied | $12,811.00 | $0.00 | See FINRA Report |
| Dmitri A Knysh | 4396485 | 2 | 01/20/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Jacob Freilicher | 2024617 | 1 | 01/11/1999 | Customer Dispute | Denied | $17,000.00 | $0.00 | See FINRA Report |
| Shirley Ann Lissner | 2830762 | 1 | 12/30/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |