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 |
|---|---|---|---|---|---|---|---|---|
| Sheila Sui Lai Chau | 1299779 | 3 | 12/15/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shawn David Morin | 2622161 | 7 | 12/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawn David Morin | 2622161 | 7 | 12/06/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Phillip R Wight | 3177330 | 1 | 11/19/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ryan Owsichek | 7418751 | 5 | 11/15/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stacy James Matter | 6924557 | 1 | 11/12/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James John Oboyle | 2721379 | 5 | 11/02/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Toni | 5570208 | 1 | 10/14/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jennifer Silberman | 6393663 | 2 | 10/14/2021 | Customer Dispute | Settled | $588.00 | $0.00 | See FINRA Report |
| Antonio Accardo | 5523884 | 1 | 10/11/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |