Search for: "MML, LLC"
Results 21 - 40
of 117
Sorted by Relevance
|
Sort by Date
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]
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]
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]
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]
23 Aug 2019, 2:07 am
Respondent MML Investor Services did not oppose the request. [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]
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]
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]
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]
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]
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]
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]
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]
22 Nov 2019, 12:44 pm
White’s broker report indicates he was allegedly involved in the following “other business activities”: Harding Partners Properties LLC, Lark Stake LLC, White & Pola LLC, LOML LLC, Sunset Manor LLC, Galleon Retreat LLC and Epiphany Logistics LLC. [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]
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]
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]
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]
29 Dec 2020, 6:28 am
His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. [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]
