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 |
|---|---|---|---|---|---|---|---|---|
| Verlon Hicks | 2143255 | 3 | 04/28/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Pamela Jean Hoppe | 1488410 | 3 | 04/09/2020 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Melinda Anne Matts | 5042438 | 1 | 04/09/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Julio F Garcia Casco | 6714613 | 1 | 04/01/2020 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Eric Wells Sharpe | 6216822 | 2 | 03/31/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joshua Ryan Plank | 3262187 | 2 | 03/30/2020 | Customer Dispute | Settled | $120,000.00 | $0.00 | See FINRA Report |
| Peter Mars | 6530767 | 1 | 03/27/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Yong Kwon Park | 3005869 | 1 | 03/26/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kamron Chris Wootton | 6395549 | 1 | 03/18/2020 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Isabella M Brunk | 4453938 | 1 | 03/13/2020 | Customer Dispute | Denied | $40,000.00 | $0.00 | See FINRA Report |