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 |
|---|---|---|---|---|---|---|---|---|
| Peter Nathen Alexander Banne | 1048610 | 1 | 07/03/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Vincent Raymond Russo | 407837 | 1 | 04/15/1975 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Edward George Kerschner | 1053293 | 2 | 02/07/1975 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Markham Alexander Heid | 2374079 | 3 | 03/11/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| James William Cleary | 1155088 | 6 | 03/07/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Edward George Kerschner | 1053293 | 2 | 01/11/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth M Gross | 1789932 | 2 | 01/09/1974 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Karen Marguerite Walker | 3096190 | 1 | 12/26/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Damian McKenzie | 2180710 | 5 | 10/28/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Charles Alan Wayne | 2159961 | 1 | 05/04/1972 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |