Search for: "Metlife Securities Inc"
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18 Nov 2009, 11:46 am
FINRA announced today that it has fined MetLife Securities, Inc., and three of its affiliates a total of $1.2 million for failing to establish an adequate supervisory system for the review of brokers' email correspondence with the public. [read post]
28 Jun 2018, 8:33 am
On June 25, 2018, the Enforcement Section of the Commonwealth of Massachusetts Securities Division (“Division”) filed an Administrative Complaint (“Complaint”) against Respondent MetLife, Inc. [read post]
7 Dec 2011, 8:25 am
Van Zandt was a registered representative with MetLife Securities, Inc. from December of 2004 through February of 2007. [read post]
31 Aug 2018, 1:25 pm
Continue reading The post Silver Law Group has filed a FINRA Arbitration Against MetLife Securities / MSI Financial Services and ELE Wealth Advisors Concerning Selling Away Claims appeared first on Securities Arbitration Lawyers Blog. [read post]
16 Apr 2015, 1:51 pm
Young was accused of borrowing more than $200,000 from customers in violation of FINRA rules while a registered representative of MetLife Securities, Inc. [read post]
18 Dec 2019, 1:31 pm
The Securities and Exchange Commission today charged MetLife, Inc. with violating the books and records and internal accounting controls provisions of the federal securities laws relating to two errors in its accounting for reserves associated with its…Read the Full Press ReleaseHave a securities law question? [read post]
14 May 2014, 4:16 am
On March 27, 2014, the Financial Industry Regulatory Authority (FINRA) filed a regulatory complaint against two former brokers from MetLife Securities, Inc., a unit of MetLife Inc. [read post]
2 Dec 2009, 9:16 am
Cosgrove Law, LLC recently filed a FINRA arbitration action against MetLife Securities, Inc. [read post]
3 May 2016, 9:46 am
The Financial Industry Regulatory Authority (FINRA) recently announced that it has fined MetLife Securities, Inc. [read post]
15 Jan 2015, 12:01 pm
From the Desk of Jim Eccleston at Eccleston Law Offices: Two former brokers for MetLife Securities Inc., Christopher Birli and Patrick Chapin, pled guilty to orchestrating an annuity scheme. [read post]
9 Mar 2018, 12:48 pm
MetLife, Inc. is the holding company for Metropolitan Life Insurance Company and one of the world’s largest global providers of insurance, annuities, and employee benefit plans. [read post]
9 Apr 2014, 2:48 pm
According to Reuters, two former brokers for MetLife Securities Inc, Christopher Birli and Patrick Chapin, have been accused of orchestrating a scheme to generate inflated commissions by switching clients’ variable annuities. [read post]
15 Oct 2007, 2:03 pm
The SEC said that defendant Kevin James Dunn Jr., then an employee of MetLife Securities Inc., was friends with the widow and convinced her to invest her terror-attack compensation funds with him and MetLife. [read post]
29 Jul 2020, 10:24 am
Back in January of 2012, the City of Westland Police and Fire Retirement System filed a class-action lawsuit against MetLife Inc. [read post]
17 May 2012, 1:43 pm
The California Department of Insurance, along with five other state insurance departments, reached a settlement with Metropolitan Life Insurance Company, Inc. [read post]
10 Apr 2014, 7:01 am
From the Desk of Jim Eccleston at Eccleston Law Offices: Christopher Birli and Patrick Chapin, two former brokers for MetLife Securities Inc., allegedly engaged in a seven-year scheme to pump up commissions by having customers switch $21 million in annuities. [read post]
28 Apr 2012, 8:50 pm
Metlife (MET) is suing Morgan Stanley (MS) for securities fraud. [read post]
4 Feb 2019, 2:18 pm
MetLife Must Pay New York Regulator $19.75M Penalty for Not Paying Pensions New York’s’ Department of Financial Services has imposed a $19.75M penalty against MetLife Inc. after finding that the insurer did not pay more than 13,000 people the pensions they were owed. [read post]
19 May 2017, 9:08 am
Formerly of Metlife Securities Inc. and Pruco Securities, LLC, Turner accrued nearly two dozen disclosures — including customer disputes, a regulatory action, and a separation following allegations — during his three-year tenure in the industry. [read post]
10 May 2016, 11:16 am
On May 3, 2016, the Financial Industry Regulatory Authority announced that MetLife Securities, Inc. agreed to pay $25 million to settle allegations that the company misled its customers in tens of thousands of variable annuity replacement applications. [read post]
