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 |
|---|---|---|---|---|---|---|---|---|
| Michelle Lee Hamel | 4197264 | 4 | 09/21/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Maurice K Clarke | 4823388 | 3 | 09/18/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Alexander Terrence Dimare | 4686010 | 1 | 09/13/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert T Leonardo | 5641161 | 2 | 09/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Matthew Joseph Whelan | 7555802 | 1 | 09/08/2017 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Harris Freedman | 5629990 | 1 | 09/07/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Ben Sarsozo | 1863861 | 2 | 08/30/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheskel Gottlieb | 1069784 | 1 | 08/18/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Miles Nelligan | 6127301 | 1 | 08/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Dale Norman Peatman | 359026 | 2 | 08/16/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |