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 |
|---|---|---|---|---|---|---|---|---|
| Pedro Juan Rodriguez Rivera | 5419364 | 2 | 10/11/2018 | Customer Dispute | Settled | $463,417.00 | $0.00 | See FINRA Report |
| Charles Ray Saunders | 2081150 | 4 | 10/11/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lisa Bratt MacBeth | 2911849 | 1 | 10/01/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Paul Michael Sinaly | 5351898 | 1 | 09/20/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Robert Rosenberg | 6813129 | 1 | 09/20/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kenneth Scott Sharkey | 2494527 | 5 | 09/17/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Derek P Happy | 5611238 | 2 | 09/13/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mi Kyoung Cho | 5776136 | 3 | 09/13/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles David Fazio | 6178995 | 1 | 09/12/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Jorge | 2478592 | 2 | 08/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |