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 |
|---|---|---|---|---|---|---|---|---|
| Matthew Smart | 6726007 | 2 | 04/10/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard A Bauer | 5532583 | 3 | 04/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Oliver Edward Buckmaster | 6834975 | 1 | 04/09/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kevin Carl Gutwein | 2904262 | 1 | 03/25/2024 | Customer Dispute | Pending | $350,000.00 | $0.00 | See FINRA Report |
| Christopher Adam Fields | 5842271 | 1 | 03/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Benjamin Matthew Howarth | 4547458 | 1 | 03/18/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Davidson McLeod | 1029890 | 1 | 03/18/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ethan Heisey | 6799847 | 1 | 03/13/2024 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dean Michael Mansavage | 2181376 | 2 | 03/12/2024 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Matthew Charles Hoger | 5694149 | 1 | 03/11/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |