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 |
|---|---|---|---|---|---|---|---|---|
| Leon Michael Almeida | 5645472 | 4 | 03/20/2019 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |
| Daniel Robert Lamego | 5367517 | 1 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Wayne Frederick Slattery | 1154405 | 2 | 03/19/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Li Ping Wang | 1952742 | 1 | 03/15/2019 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kaliyah McLeod | 7314659 | 1 | 03/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| George Teng | 2101388 | 8 | 02/28/2019 | Customer Dispute | Denied | $118,826.00 | $0.00 | See FINRA Report |
| William J Condon | 4750224 | 2 | 02/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Cui | 6285655 | 3 | 02/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| David Eisner | 76678 | 1 | 02/04/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Patrick Root | 2723359 | 2 | 02/01/2019 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |