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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Mario Minieri | 1195018 | 5 | 06/18/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Robert Kaine | 2608249 | 3 | 05/08/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Sydney Joseph Khedouri | 268915 | 1 | 04/14/1998 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Iaian Oliver | 6158036 | 1 | 04/10/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Warren Brandies | 28849 | 3 | 04/02/1998 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Joseph Mario Minieri | 1195018 | 5 | 02/23/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Roland Francis Gaudette | 711917 | 5 | 02/18/1998 | Customer Dispute | Closed-No Action | $3,800.00 | $0.00 | See FINRA Report |
| Michael Rutherford Skiff | 4762029 | 1 | 02/06/1998 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Alicia Thuy Chau | 2292651 | 1 | 02/03/1998 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Keith Joseph Alessi | 2651029 | 2 | 01/15/1998 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |