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 |
|---|---|---|---|---|---|---|---|---|
| Michael Paul Serfillippi | 5517111 | 1 | 11/05/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Charles Henderson | 1299692 | 6 | 10/17/1994 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Joanne Marie Beaton | 1870572 | 5 | 10/11/1994 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Verlon Hicks | 2143255 | 3 | 08/26/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Seth Leldon Knight | 1434997 | 1 | 08/01/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Scott Eric Talbott | 5660077 | 1 | 07/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Jason Lee Peeples | 1093757 | 4 | 06/29/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Charles Wesley Parker | 2360469 | 2 | 06/01/1994 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| William Edward McIntosh | 328425 | 2 | 04/07/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Wahl | 456607 | 1 | 04/01/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |