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 |
|---|---|---|---|---|---|---|---|---|
| Bruce William Bowman | 1054222 | 1 | 01/01/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Thomas Anthony Gallagher | 1976385 | 5 | 12/11/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Vladimir Fikhman | 2315449 | 3 | 12/03/1997 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jayme George Alfano | 1920451 | 1 | 10/31/1997 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jayms Bradley Dickson | 2260301 | 1 | 10/29/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Robert Joseph Albright | 3076579 | 1 | 10/07/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ricardo Miguel Garcia Ramirez-Gaston | 6050148 | 2 | 09/13/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James Joseph McNamara | 1002809 | 2 | 09/10/1997 | Customer Dispute | Settled | $30,000.00 | $0.00 | See FINRA Report |
| Eugene Alexander Moisey | 1668202 | 1 | 09/09/1997 | Customer Dispute | Settled | $117,000.00 | $0.00 | See FINRA Report |
| David Edward Mahler | 1057162 | 1 | 08/28/1997 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |