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 |
|---|---|---|---|---|---|---|---|---|
| John Thomas Murphy | 4374331 | 2 | 10/28/2020 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| George Irving Lambrix | 1261093 | 1 | 10/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Joseph Pitera | 2873479 | 1 | 10/20/2020 | Customer Dispute | Denied | $199,636.00 | $0.00 | See FINRA Report |
| Helen Marie Smith | 1702930 | 2 | 10/20/2020 | Customer Dispute | Denied | $199,636.00 | $0.00 | See FINRA Report |
| Chase L Dobler | 7669069 | 1 | 10/20/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Travis James Caruso | 5215091 | 7 | 10/15/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Paul Alan Kaeterle | 2181522 | 2 | 10/02/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Hui Liu | 5478774 | 1 | 10/02/2020 | Customer Dispute | Denied | $9,000.00 | $0.00 | See FINRA Report |
| Timothy Ryan Smith | 6094086 | 4 | 09/30/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Timothy Ryan Smith | 6094086 | 4 | 09/30/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |