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 |
|---|---|---|---|---|---|---|---|---|
| Mark Andrew Cramer | 1313587 | 4 | 10/14/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mi Kyoung Cho | 5776136 | 3 | 10/09/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Ruth Simons | 1463385 | 1 | 10/02/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Stephen Sercheow Koh | 1553631 | 3 | 09/30/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Daniel T Del Guercio | 7311758 | 3 | 09/27/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Bert Frazier | 2571087 | 5 | 09/25/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Bernard Joseph Audet | 1317819 | 7 | 09/24/2019 | Customer Dispute | Settled | $5,000.01 | $0.00 | See FINRA Report |
| Pamela Jean Hoppe | 1488410 | 3 | 09/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Samuel John Lusardi | 6759460 | 1 | 09/13/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Brian T Bednarz | 4175324 | 1 | 09/10/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |