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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Jude Capone | 1017593 | 4 | 06/17/1992 | Customer Dispute | Award / Judgment | $1,120,560.00 | $301,250.00 | See FINRA Report |
| Paul George Stappas | 859437 | 2 | 05/21/1992 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Sharon Mary Perhac | 1082590 | 1 | 04/07/1992 | Customer Dispute | Settled | $121,200.00 | $0.00 | See FINRA Report |
| Michael Scott Kipniss | 1243252 | 1 | 03/04/1992 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Susan Andrea Myers | 1369870 | 1 | 01/10/1992 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Arnie David Bergman | 1338888 | 3 | 11/07/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Joseph Lavo | 1185209 | 3 | 10/30/1991 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joanne Marie Beaton | 1870572 | 5 | 10/28/1991 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas George Bongiorno | 2390455 | 1 | 10/26/1991 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Clark Selwyn Ullom | 844147 | 5 | 10/22/1991 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |