Search for: "MML Investors Services, LLC"
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7 Apr 2020, 6:47 am
According to BrokerCheck records financial advisor Charles Evan (Evan), formerly employed by MML Investors Services, LLC (MML Investors) has been subject to five customer complaints, one regulatory action, and one employment termination for cause during his career. [read post]
14 Jan 2019, 7:34 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Nicholas Radke (Radke), formerly associated with MML Investors Services, LLC (MML Investors) in December 2018, was sanctioned and barred from the securities industry by FINRA over accusations of potentially selling unapproved products. [read post]
18 Nov 2018, 6:22 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former advisor Floyd Powell (Powell), formerly associated with MML Investors Services, LLC (MML Investors) in Albertville, Alabama has been accused by at least four clients of selling fraudulent investments. [read post]
3 Jun 2019, 9:22 am
Advisor Alex Blanco (Blanco), currently employed by MML Investors Services, LLC (MML Investors) has been subject to at least three customer complaints during the course of his career. [read post]
23 Aug 2019, 2:07 am
Respondent MML Investor Services did not oppose the request. [read post]
9 Dec 2019, 5:34 pm
According to BrokerCheck records financial advisor Leon Almeida (Almeida), formerly employed by MML Investors Services, LLC (MML Investors) has been subject to four customer disputes and one criminal matter during his career. [read post]
7 Dec 2019, 5:30 am
According to BrokerCheck records, Johnson is formerly registered with The Financial Industry Regulatory Authority (FINRA) member firm MML Investors Services, LLC (MML). [read post]
2 Jul 2019, 7:42 am
(SagePoint Financial) and MML Investors Services, LLC (MML Investors) out of Fort Lauderdale, Florida was barred from the financial industry according to records kept by The Financial Industry Regulatory Authority (FINRA). [read post]
8 Aug 2018, 12:25 pm
Oscar Francis (CRD #5094722) is a former registered broker and investment advisor last employed with MML Investors Services, LLC (CRD #10409) of Fort Lauderdale, FL. [read post]
6 May 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: David Bridges, a former registered broker employed by NYLife Securities LLC, Allstate Financial Services, LLC, MML Investors Services, Inc., and Northwestern Mutual Investment Services, LLC. was charged with bilking investors out of more than $650,000. [read post]
27 Apr 2020, 1:45 pm
In the Matter of Sandra Gose Stevens, FINRA Matter No. 2018058123701 Stevens was formerly registered with MML Investors Services, LLC, which terminated her in April 2018 concerning an alleged “signature irregularity. [read post]
26 Oct 2022, 12:46 pm
According to his FINRA BrokerCheck report, 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]
22 Nov 2019, 12:44 pm
Financial Advisor Matthew Leon White, MML Investor Services in Little Rock, AR Are you concerned about investments with Matthew Leon White in Little Rock, AR? [read post]
1 Jun 2020, 7:55 am
CRD #5701828) is a former registered broker and investment advisor whose last employer was MML Investors Services, LLC (CRD# 10409) of Lawrenceville, GA. [read post]
11 Jul 2013, 7:25 am
, LPL Financial LLC, Commonwealth Financial Network, MML Investor Services LLC, Investors Capital Corp., Signator Investors Inc., Meyers Associates LP, and WFG Investments Inc. [read post]
12 Dec 2022, 11:56 am
Darien Bonney (Darien Euclid Bonney CRD# 4899007) is a former registered broker last employed with MML Investors Services, LLC (CRD#:10409) of Scottsdale, AZ. [read post]
9 Mar 2021, 8:54 am
Gary Hammond (Gary Wayne Hammond CRD# 2660432) is a previously registered broker and investment advisor who last worked for Hornor, Townsend & Kent, Inc. and MML Investors Services, LLC in Charlotte, North Carolina for brief periods in 2017, but spent the bulk of his career registered with MSI Financial Services, Inc., also located in Charlotte, North Carolina. [read post]
29 Dec 2020, 6:28 am
His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. [read post]
23 Nov 2020, 10:00 am
FINRA alleged that between June 2017 and November 2017, Micah Patterson participated in private securities transactions totaling $30,644 without prior disclosure and approval from his employer at the time, MML Investors Services, LLC. [read post]
27 Jul 2020, 7:08 pm
According to FINRA Disciplinary actions for July 2020, the following individuals were barred from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Robert Cacioppo MML Investors Services, LLC NYLIfe Securities LLC Michael Davis Allied Millennial Partners,… [read post]
