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 |
|---|---|---|---|---|---|---|---|---|
| Charlene Renee Flick | 6651114 | 1 | 05/31/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Sandra Scanni | 2179046 | 3 | 05/29/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ivan Obra Mattox | 4537633 | 5 | 05/20/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Joseph Mullen | 6200525 | 1 | 05/16/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Wayne Frederick Slattery | 1154405 | 2 | 05/09/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Matthew John Mattimore | 4456309 | 2 | 04/30/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Bert Frazier | 2571087 | 5 | 04/29/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Dorothy Ann Murdock | 2033644 | 2 | 04/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles H Lundeen | 2700322 | 2 | 04/24/2019 | Customer Dispute | Denied | $71,726.80 | $0.00 | See FINRA Report |
| David Hugh Root | 1403460 | 4 | 04/23/2019 | Customer Dispute | Closed-No Action | $470,000.00 | $0.00 | See FINRA Report |