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 |
|---|---|---|---|---|---|---|---|---|
| Jason James Dekeuster | 5127089 | 2 | 01/10/2019 | Customer Dispute | Denied | $5,000.01 | $0.00 | See FINRA Report |
| Gabriel Bustamante | 5264619 | 3 | 01/10/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| April Carter | 5621909 | 1 | 01/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheryl Diane Richardson | 1807190 | 4 | 12/26/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Kenneth Scott Sharkey | 2494527 | 5 | 12/19/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Allen Moquin | 1094497 | 1 | 12/13/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Catherine Rochelle Mattera | 5415273 | 3 | 12/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Catherine Rochelle Mattera | 5415273 | 3 | 12/07/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert J Link | 6198862 | 1 | 11/30/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| William Esteban Romero | 5127697 | 5 | 11/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |