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 |
|---|---|---|---|---|---|---|---|---|
| Tony Roberts | 2691066 | 3 | 05/21/2024 | Customer Dispute | Denied | $600,000.00 | $0.00 | See FINRA Report |
| Akeem Marak Prosser | 5533868 | 2 | 05/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tadas Vincent Petkevicius | 1854727 | 3 | 05/20/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ivan Obra Mattox | 4537633 | 5 | 05/13/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Richard A Bauer | 5532583 | 3 | 05/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Patrick Hagan | 2392157 | 9 | 05/07/2024 | Customer Dispute | Pending | $400,000.00 | $0.00 | See FINRA Report |
| Matthew Smart | 6726007 | 2 | 04/25/2024 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Edward M Tunmore | 4372646 | 2 | 04/22/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Banks Brown | 6041463 | 1 | 04/17/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Buck Kartheval Jones | 6138651 | 1 | 04/12/2024 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |