Search for: "MML Investors Services, LLC"
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7 Jul 2021, 1:51 pm
According to FINRA Disciplinary actions for June 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Gina Adly MML Investors Services, LLC NYLife Securities LLC Patrick Carberry AXA Advisors, LLC NYLife Securities LLC Roy Cederfranco Morgan Stanley … [read post]
11 Nov 2022, 9:39 am
Morgan Securities LLC Merrill Lynch, Pierce, Fenner & Smith Incorporated Eddy Chou Inspire Advisors, LLC Ameriprise Financial Services, LLC Kara Gagnon Global Atlantic Distributors, LLC MetLife Investors Distribution Company Johana Jimenez Derick Stickland Allstate Financial Services, LLC FINRA makes this information available, in part, to inform… [read post]
3 Mar 2015, 1:59 pm
Some of the claims also allege that customers made personal loans to Lawrence, which he never paid back.Lawrence first became registered with FINRA in 2002 with MML Investors Services, LLC. [read post]
23 Nov 2020, 10:04 am
FINRA alleged that between March 2016 and April 2016, Neemit Shah participated in private securities transactions totaling $408,000, without prior disclosure and approval from his employer at the time, MML Investors Services, LLC. [read post]
27 Sep 2022, 9:05 am
His previous employers include Nationwide Securities, LLC (CRD# 11173) of Elbridge, NY, 1717 Capital Management Company (CRD# 4082) and MML Investors Services, Inc. [read post]
13 Apr 2020, 10:34 am
The securities lawyers of Gana Weinstein LLP recently filed a complaint on behalf of a client alleging that William Fox (Fox) and The Fox Alliance, registered with New England Securities (now MML Investors Services LLC) and First Allied Securities, Inc., (First Allied) and the firms failed to supervise Fox’s recommendations and investment activity in alternative investments. [read post]
5 Aug 2015, 2:06 pm
Diehl has no customer disputes, but he was previously discharged from MML Investors Services, LLC in 2013 over alleged involvement in EIA sales when the firm did not permit such transactions. [read post]
25 Apr 2017, 10:49 am
The FINRA complaint alleges that Niekras made fraudulent misrepresentations to an elderly couple in their 90s to collect more than $70,000 in estate and financial planning fees while associated with the brokerage firm MML Investors Services, LLC. [read post]
7 Oct 2021, 2:05 pm
Adam Belardino (Adam Gerard Belardino, CRD: #5221927) is a former registered broker and investment advisor whose last known employer was MML Investors Services, LLC (CRD#:10409) of Elmsford, New York. [read post]
23 Dec 2019, 1:40 pm
MML Investors, LLC Suntrust Investment Services, Inc Karney, Amogh McGuire, Jesse J.P. [read post]
21 May 2020, 6:40 am
According to FINRA Disciplinary actions for February 2020, the following individuals were suspended 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 Belesis, George Portfolio Advisors Alliance, LLC John Thomas Financial Berghausen, Joseph ADP Broker-Dealer, Inc Cetera Advisor Networks… [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services, LLC Botner,… [read post]
4 Jun 2018, 6:30 am
Harbinger Asset Management, LLC Bhaskar Chandrakant Vyas Interfirst Capital Corporation Western International Securities, Inc Mark Edward Winburne MML Investors Services, LLC Metlife Securities, Inc. [read post]
6 Mar 2018, 8:13 am
Samiul Anam Chowdhury MML Investors Services, LLC NYLife Securities LLC Argenis T. [read post]
30 Jan 2019, 1:03 pm
According to FINRA Disciplinary actions for January 2019, the following individuals were suspended 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 Alfaro, Jennifer JP Morgan Securities LLC JP Morgan Chase Bank Austin, Aaron LPL Financial LLC M&T Securities, Inc Austin,… [read post]
2 Oct 2018, 5:48 am
Felipe Munive Allstate Financial Services, LLC Gordan Nitka MML Investor Services, LLC MassMutual Life Insurance Co Daniel Ochao Farmers Financial Solutions, LLC George Oldoerp H Beck, Inc. [read post]
14 Jun 2021, 8:09 am
Suyama is currently associated with MML Investors Services, LLC in Glen Allen, Virginia. [read post]
11 Sep 2012, 9:30 pm
Securities fraud attorneys are currently investigating claims on behalf of former clients of Northwestern Mutual Investment Services LLC, MML Investors Services LLC, Wealth By Design Inc. and Clinton D. [read post]
29 Jul 2020, 12:44 pm
Newbridge Securities Corporation David Schrank MML Investors Services, LLC Bankers Life Securities, Inc. [read post]
6 Aug 2019, 8:45 am
Dewaay Financial Network, LLC VSR Financial Services, Inc Freeman, Michael Spartan Capital Securities, LLC Legend Securities, Inc Fuzie, Cindy Morgan Stanley MML Investors Services, LLC Hernandez, Evelyn Morgan Stanley Chase Investment Services Barry, Jin Spartan Capital Securities, LLC Lampert Capital Markets Inc … [read post]
