Search for: "MML Investors Services, LLC" Results 41 - 60 of 116
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19 Feb 2021, 7:25 am by Silver Law Group
  Curt Giacobbe   MML Investors Services, LLC   NYLife Securities LLC   Young Ju Kim   Kevin Lafollette   Nationwide Investment Services Corporation   Paul McGonigle   LPL Financial LLC   SII Investments, Inc. [read post]
29 Dec 2020, 6:28 am by Silver Law Group
  His previous employers include MML Investors Services, LLC (CRD#:10409) and MSI Financial Services, Inc. [read post]
23 Nov 2020, 10:04 am by Iorio Altamirano
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]
23 Nov 2020, 10:00 am by Iorio Altamirano
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]
26 Oct 2020, 2:54 am by Alan Rosca
About a month later he joined MML Investors Services also in Glen Allen, Virginia December 2016 until November 2018. [read post]
26 Oct 2020, 2:54 am by Alan Rosca
About a month later he joined MML Investors Services also in Glen Allen, Virginia December 2016 until November 2018. [read post]
23 Oct 2020, 6:57 am by Silver Law Group
  Curt Giacobbe   MML Investors Services, LLC   Eagle Strategies LLC   Dean Grosskreutz   Allstate Financial Services, LLC   Morgan Keegan & Company, Inc. [read post]
23 Sep 2020, 4:58 pm by Renae Lloyd
Prior to that, he was reportedly affiliated with MML Investors Services in Spokane, Washington for one year. [read post]
3 Sep 2020, 8:21 am by Silver Law Group
  Cindy Fuzie   Morgan Stanley   MML Investors Services, LLC   Michael Garris   Wells Fargo Clearing Services, LLC   Morgan Stanley Smith Barney   Rajesh Gupta   Morgan Stanley Smith Barney   JP Morgan Securities LLC   James McEnerney, Jr. [read post]
29 Jul 2020, 12:44 pm by Silver Law Group
  Newbridge Securities Corporation   David Schrank   MML Investors Services, LLC   Bankers Life Securities, Inc. [read post]
27 Jul 2020, 7:08 pm by Silver Law Group
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]
16 Jun 2020, 6:40 am by Silver Law Group
According to FINRA Disciplinary actions for May 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   George Belesis   Portfolio Advisors Alliance, LLC   John Thomas Financial   Dustin Blount   MML Investors Services, LLC  … [read post]
11 Jun 2020, 11:36 am by Silver Law Group
However, these individuals remain bound by the securities arbitration agreement to arbitrate any disputes between themselves and their former customers: NAME FORMER EMPLOYERS   Robert Cacioppo   MML Investors Services, LLC   NYLife Securities LLC   Paula Collins   TIAA-CREF Individual & Institutional Services, LLC   OppenheimerFunds Distributor, Inc. [read post]
1 Jun 2020, 7:55 am by Silver Law Group
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]
27 May 2020, 7:48 am by Silver Law Group
Ryan Botner (Ryan J Botner) (CRD# 4998373) is a barred broker previously registered with MML Investors Services, LLC (CRD# 10409) in Fargo, North Dakota. [read post]
21 May 2020, 7:12 am by Silver Law Group
  MML Investors Services, LLC   Suntrust Investment Services, Inc   Mannera, Samuel   Wells Fargo Clearing Services, LLC   Merrill Lynch, Pierce, Fenner & Smith, Inc. [read post]
21 May 2020, 6:40 am by Silver Law Group
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 by Silver Law Group
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]
8 May 2020, 9:36 am by Silver Law Group
  Mark Schneck   Northwestern Mutual Investment Services LLC   MML Investors Services,LLC   Cynthia Tarner   Dennis Taylor   Taylor Capital Management Inc. [read post]
27 Apr 2020, 1:45 pm by Herskovits, PLLC
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]