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 |
|---|---|---|---|---|---|---|---|---|
| Keith R Forbes | 2266575 | 1 | 03/10/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Russell Rotman | 2050959 | 2 | 03/07/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Jeanette Fields Williams | 2296549 | 4 | 03/07/1994 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| John Whitney Coogan | 724714 | 5 | 02/11/1994 | Customer Dispute | Settled | $46,000.00 | $0.00 | See FINRA Report |
| Donald Wayne Bratcher | 1515281 | 1 | 01/12/1994 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Mario Minieri | 1195018 | 5 | 01/01/1994 | Customer Dispute | Award / Judgment | $89,000.00 | $56,294.70 | See FINRA Report |
| Mary Elizabeth Sparkman | 2734644 | 1 | 12/19/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas David Ogrady | 1874661 | 1 | 10/04/1993 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David P Quaglia | 2525921 | 2 | 09/08/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dung Thanh Huynh | 4553467 | 1 | 08/04/1993 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |