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12 Apr 2019, 8:22 am
According to FINRA Disciplinary actions for February 2019, 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 Grossman, Robert David Lerner Associates, Inc National Planning Corporation Jacobowitz, Oded Securities America, Inc JP Morgan Securities LLC James, Garland Garden State Securities, Inc Global… [read post]
15 Feb 2019, 12:45 pm
Powell did not provide notice to either firm, MML or MSI, prior to participating in these private securities transactions, nor did he obtain approval from MML or MSI. [read post]
5 Feb 2019, 1:33 pm
Varghese was also registered with MML Investors Services, LLC in Syosset, New York from February 8, 2010 until June 14, 2010, FINRA states.. [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]
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]
2 Jan 2019, 4:38 am
Radke first reportedly became registered with FINRA through a FINRA member firm in July 1995 and was registered with various FINRA member firms until October 2018, including American Independent Securities Group, LLC from May 2011 to May 2018, and in October 2018, Radke voluntarily resigned from MML Investors Services, LLC, according to the aforementioned AWC. [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]
9 Nov 2018, 6:29 am
Joseph Roop has also worked at the following firms: • Wachovia Securities, LLC, Belmont, North Carolina, May 23, 2008 to April 3, 2009 • Banc of America Investment Services, Inc., Charlotte, North Carolina, December 10, 2004 to May 28, 2008 • Legg Mason Wood Walker, Inc, Baltimore, Maryland, December 18, 200 to December 15, 2004 • MML Investor Services, Inc, Springfield, Maryland, November 9, 1998 to December 31, 2000 • Price Securities Corporation, Newark,… [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]
28 Aug 2018, 11:12 am
According to FINRA Disciplinary actions for August 2018, 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 Gregory Connell Ashley Evans Valbona Keja-Dasilva Suntrust Investment Services, Inc CCO Investment Services Corp Keesang Kim 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]
9 Jul 2018, 12:46 pm
Morgan Stanley DW Inc Cynthia Mae Moore The Huntington Investment Company Felipe De Jesus U Munive Allstate Financial Services, LLC Gordon Beecher Nitka MML Investors Services, LLC MassMutual Life Insurance Company Daniel Ochoa Farmers Financial Solutions, LLC Joshua Alexander Stephens-Anselm JP Morgan Securities LLC Capital One Bank NA John Bradford Stoddard… [read post]
12 Jun 2018, 6:53 am
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Oscar Francis (Francis), formerly associated with MML Investor Services, LLC (MML) in Ft. [read post]
11 Jun 2018, 10:59 am
Travers employer, MML Investors Services, LLC (MML) discharged Travers in March 2017 alleging that Travers engaged in undisclosed outside business activities. [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]
4 Jun 2018, 6:26 am
Valbona Keja Keja-Dasilva Suntrust Investment Services, Inc CCO Investment Services Corp Shane Jason Kelly LPL Financial LLC Atlantic Capital Advisors Keesang John Kim MML Investors Services, LLC Pruco Securities, LLC Michael Ray Matos J.P. [read post]
8 May 2018, 8:53 am
Morgan Securities Chase Investment Services Corp Brian Patrick Hurley MML Investors Services, LLC NYLife Securities Lindsey Marie Katula Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Jason Harris Klabal Alexander Capital, L.P. [read post]
4 Apr 2018, 7:38 am
Schultz MML Investor 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]
6 Mar 2018, 8:02 am
Brian Patrick Hurley MML Investors Services, LLC NYLife Securities LLC Lindsey Marie Katula Wells Fargo Clearing Services, LLC Wells Fargo Advisors, LLC Jason Harris Klabal Alexander Capital, L.P. [read post]
