Search for: "MML Investors Services, LLC"
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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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
