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 |
|---|---|---|---|---|---|---|---|---|
| Richard Louis Reda | 4527060 | 4 | 04/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Warren Saperstein | 4389204 | 12 | 04/12/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| George Francis Grant | 2074572 | 1 | 04/11/2019 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 04/11/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Alex | 5848814 | 1 | 04/11/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Allan Brett Zucker | 3004384 | 1 | 04/05/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nathan Lee Price | 4666328 | 3 | 04/03/2019 | Customer Dispute | Denied | $7,300.00 | $0.00 | See FINRA Report |
| David Erik Olson | 3121941 | 2 | 04/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Benoit | 1106516 | 5 | 03/25/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Joseph Higgins | 6499135 | 2 | 03/20/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |