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 |
|---|---|---|---|---|---|---|---|---|
| Kenneth Eric Ilgner | 2316676 | 1 | 03/22/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Esteban Romero | 5127697 | 5 | 03/21/2022 | Customer Dispute | Denied | $18,000.00 | $0.00 | See FINRA Report |
| Adam Wesley Townsend | 3034553 | 1 | 03/18/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jonathan Trever Hutchison | 4769227 | 1 | 02/28/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Anne Smith | 5903224 | 5 | 02/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Cheryl Anne Smith | 5903224 | 5 | 02/21/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Karl Frederick Rickel | 1365534 | 1 | 02/17/2022 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brent Derek Prather | 4264468 | 1 | 02/17/2022 | Customer Dispute | Settled | $18,484.40 | $0.00 | See FINRA Report |
| Robert Roy Snider | 2417319 | 3 | 02/08/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Jenny Dunberg | 5053672 | 1 | 02/08/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |