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 |
|---|---|---|---|---|---|---|---|---|
| Shane Daniel Gornik | 4729104 | 5 | 08/02/2022 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| Michael John McGeoghan | 6072310 | 1 | 08/02/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Quang Nguyen | 6527174 | 1 | 07/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jason Bradley Kormes | 7022147 | 2 | 07/21/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carlos Vasquez | 2592329 | 1 | 07/14/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Stanley Marion Ingram | 840304 | 1 | 07/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| David Joseph Patchcoski | 4835229 | 1 | 07/13/2022 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| David A. Wachter | 5734478 | 1 | 07/13/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Mulai | 6796406 | 6 | 07/07/2022 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Warren Dean Cates | 6724075 | 2 | 07/05/2022 | Customer Dispute | Denied | $46,857.00 | $0.00 | See FINRA Report |