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 |
|---|---|---|---|---|---|---|---|---|
| Jeffrey Martin | 3268675 | 4 | 11/01/2023 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Norman Randolph Jones | 5979908 | 3 | 10/30/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Catherine Denise Dressel | 6554407 | 4 | 10/24/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Jason O Champion | 3093315 | 3 | 10/23/2023 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ryan Ross Solle | 5734196 | 1 | 10/18/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Charles Leonard | 2725363 | 2 | 10/12/2023 | Customer Dispute | Denied | $11,653.00 | $0.00 | See FINRA Report |
| Cheryl Diane Richardson | 1807190 | 4 | 10/12/2023 | Customer Dispute | Denied | $415,000.00 | $0.00 | See FINRA Report |
| Amanda Kay Matthews | 6447450 | 1 | 10/12/2023 | Customer Dispute | Denied | $11,653.00 | $0.00 | See FINRA Report |
| Joel Warren Saperstein | 4389204 | 12 | 10/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Joel Warren Saperstein | 4389204 | 12 | 10/11/2023 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |