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 |
|---|---|---|---|---|---|---|---|---|
| Jose Santana | 6761883 | 1 | 08/02/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Christina Elise Acker | 5910390 | 3 | 07/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicola Ottavio Caporaso | 4625003 | 5 | 07/27/2021 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Curtis Leroy Klieger | 5990135 | 1 | 07/25/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Cheryl Anne Smith | 5903224 | 5 | 07/23/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew John Ramirez | 6933331 | 2 | 07/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Lynn Cross | 3155726 | 4 | 07/21/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Kazlau | 6341724 | 1 | 07/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joel Douglas Gilley | 1914257 | 1 | 07/19/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan Curley | 6763870 | 1 | 07/07/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |