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 |
|---|---|---|---|---|---|---|---|---|
| Brett A Thiery | 5179667 | 9 | 04/13/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bryan Rosen | 4997044 | 2 | 04/12/2021 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Matthew William Geherin | 1432845 | 3 | 04/08/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Anthony Martinez | 1688923 | 7 | 04/05/2021 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Kristen Kelly Gratton | 5885948 | 1 | 03/30/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Dawn A Robinson | 5590032 | 1 | 03/22/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kyle Welles Boudreau | 6687629 | 2 | 03/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Alana K Wong | 3172162 | 1 | 03/16/2021 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Monkarsh | 2967388 | 6 | 03/09/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Fredericks | 5906237 | 1 | 02/28/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |