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 |
|---|---|---|---|---|---|---|---|---|
| Joshua von Steinfeld | 5560704 | 2 | 03/11/2020 | Customer Dispute | Denied | $215,875.00 | $0.00 | See FINRA Report |
| Timothy Patrick Danahy | 1350324 | 1 | 03/09/2020 | Customer Dispute | Closed-No Action | $35,000.00 | $0.00 | See FINRA Report |
| Aubrey E Vaughn | 1933540 | 1 | 02/07/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alison Pratt | 7335950 | 1 | 02/07/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Benoit | 1106516 | 5 | 02/06/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Winsome Elaine Goodale | 1745670 | 3 | 02/06/2020 | Customer Dispute | Denied | $3,000.00 | $0.00 | See FINRA Report |
| Dennis Joseph Flanagan | 1302054 | 1 | 02/04/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yuda Jiang | 3012495 | 2 | 01/31/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Hugo Hietapelto | 4731334 | 1 | 01/21/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kent Leslie Wyse | 1070329 | 9 | 01/10/2020 | Financial | Final | $0.00 | $0.00 | See FINRA Report |