Search for: "MML Investors Services, LLC"
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17 May 2023, 11:30 am
The White Law Group reviews the regulatory history of MML Investors Services LLC. [read post]
29 Sep 2021, 5:26 am
FINRA has barred former MML Investors Services, LLC broker Robert Joseph Boyer III from the securities industry. [read post]
13 Sep 2021, 3:39 pm
FINRA has barred former MML Investors Services, LLC (“MML”) broker Adam Gerard Belardino from the securities industry for failing to provide on-the-record testimony on two occasions in violation of FINRA Rules 8210 and 2010. [read post]
5 Apr 2021, 7:01 am
Allegedly Unsuitable Recommendations Caused Senior Investor Loss of Savings A Brunswick, Georgia retiree has filed a Financial Industry Regulatory Authority (FINRA) arbitration case against broker-dealer MML Investors Services, LLC. [read post]
13 May 2021, 1:10 pm
Balardino was associated with MML Investors Services, LLC (“MML Investor Services”) in Elmsford, New York. [read post]
12 Apr 2021, 7:44 am
Francis was a broker at MML Investors Services, LLC, Inc. in Ft. [read post]
27 May 2020, 7:48 am
Ryan Botner (Ryan J Botner) (CRD# 4998373) is a barred broker previously registered with MML Investors Services, LLC (CRD# 10409) in Fargo, North Dakota. [read post]
2 Apr 2021, 9:22 am
The conduct is alleged to have taken place while Holcomb was registered with MML Investors Services, LLC in Warwick, Rhode Island. [read post]
12 Jun 2018, 6:53 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Oscar Francis (Francis), formerly associated with MML Investor Services, LLC (MML) in Ft. [read post]
31 May 2021, 7:38 am
MML Investors Services fired Belardino in 2019. [read post]
5 Mar 2012, 7:11 am
If you have questions about investments you made with MML Investors Services, LLC, the securities attorneys of The White Law Group may be able to help. [read post]
5 Mar 2012, 7:11 am
If you have questions about investments you made with MML Investors Services, LLC, the securities attorneys of The White Law Group may be able to help. [read post]
16 Sep 2022, 10:18 am
Berry was reportedly registered with the following firms during her career: 08/30/2019 – 10/12/2020, MML INVESTORS SERVICES, LLC (CRD#:10409), OKLAHOMA CITY, OK, B, 09/28/2017 – 10/17/2017, MML INVESTORS SERVICES, LLC (CRD#:10409), OKLAHOMA CITY, OK B, 09/27/2010 – 10/03/2017, NYLIFE SECURITIES LLC (CRD#:5167), OKLAHOMA CITY, OK Potential Lawsuits to Recover… [read post]
2 Jul 2007, 7:17 pm
The fine amounts are $473,000 against MML Investors Services, Inc., $354,000 against NYLIFE Securities LLC, $322,000 against Securities America, Inc. and $100,000 against Northwestern Mutual Investment Services. [read post]
16 Nov 2016, 12:07 pm
According to FINRA, MML Investors Services, LLC (MMLIS) allegedly overcharged 792 customers on sales of mutual funds and have been ordered to pay close to $1.8 million in restitution. [read post]
21 Dec 2017, 12:40 pm
” Publicly available information through FINRA indicates that Brian Travers (CRD# 4767891) first entered the securities industry in 2004, and was most recently a registered representative of MML Investors Services, LLC (“MML”) (CRD# 10409) until his former employer terminated his registration in April 2017. [read post]
23 Mar 2021, 11:00 am
The post Chad Mackland, Former MML Investors Services Broker Barred from Securities Industry appeared first on The White Law Group. [read post]
28 May 2014, 5:49 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned MML Investors Services, LLC (MML Investors a/k/a MassMutual Life Insurance Company) broker Monte Miron (Miron) concerning allegations that Miron made unauthorized trades in client accounts and that the broker failed to disclose certain tax liens on his Form U4 in a timely manner. [read post]
9 Sep 2021, 10:25 am
According to FINRA, Belardino was reportedly affiliated with the following firms during his career in the securities industry: 03/25/2017 – 04/16/2019, MML INVESTORS SERVICES, LLC (CRD#:10409), ELMSFORD, NY 10/23/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
5 May 2022, 12:32 pm
Belardino was reportedly registered with the following FINRA registered firms, among others during his career in the securities industry: 03/25/2017 – 04/16/2019, MML INVESTORS SERVICES, LLC (CRD#:10409), ELMSFORD, NY, 10/23/2007 – 03/25/2017, MSI FINANCIAL SERVICES, INC. [read post]
