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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Neil Rancourt | 4942792 | 3 | 08/01/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Elizabeth Harris Sloan | 2119880 | 3 | 07/31/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Timothy Ryan Smith | 6094086 | 4 | 07/24/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Patrick Ralph Pilla | 4801226 | 1 | 07/21/2020 | Customer Dispute | Closed-No Action | $101,000.00 | $0.00 | See FINRA Report |
| Dmitriy Yankelevich | 5071236 | 1 | 07/13/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pitt Petri | 2658300 | 3 | 07/12/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Harry Aloysius Carroll | 2617434 | 5 | 07/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Christopher Michael Fallon | 5096384 | 1 | 07/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Charles Brocke | 31104 | 1 | 07/02/2020 | Customer Dispute | Denied | $470,000.00 | $0.00 | See FINRA Report |
| Katie Ann Hudson | 5508543 | 4 | 06/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |