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 |
|---|---|---|---|---|---|---|---|---|
| Cory Alan Weiser | 4540398 | 1 | 01/02/2024 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Philip Anthony Miceli | 4572957 | 1 | 01/02/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jayson Decandia | 5090632 | 1 | 12/19/2023 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 12/19/2023 | Customer Dispute | Pending | $50,000.00 | $0.00 | See FINRA Report |
| James David Vavonese | 5411110 | 1 | 12/18/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Richard A Bauer | 5532583 | 3 | 12/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Katherine Ruth McLernon | 2108915 | 3 | 12/07/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jeniece Dianna McClary | 2643011 | 1 | 12/07/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shon Ivan McLain | 4141062 | 1 | 12/01/2023 | Customer Dispute | Denied | $5,100.00 | $0.00 | See FINRA Report |
| David Erik Olson | 3121941 | 2 | 11/28/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |