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 |
|---|---|---|---|---|---|---|---|---|
| Edwin Spencer Cultra | 5903247 | 2 | 08/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Hugh Clark | 1054265 | 3 | 08/21/2018 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |
| Amy Suzanne King | 5251667 | 1 | 08/21/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Steven A Cohen | 2566075 | 1 | 08/04/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Justin Towne | 6414493 | 4 | 08/01/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Justin Towne | 6414493 | 4 | 07/31/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Justin Towne | 6414493 | 4 | 07/30/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Joseph Wasikonis | 1199392 | 2 | 07/30/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jason Bert Frazier | 2571087 | 5 | 07/27/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Leonard Allison | 1382177 | 5 | 07/24/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |