Search for: "MML, LLC"
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10 Jan 2018, 4:40 pm
Graham Northwestern Mutual Investment Services, LLC Steven Harris MML Investors Services, LLC MSI Financial Services, LLC Kimberlyann Huegel Vanguard Marketing Corporation The Vanguard Group, Inc. [read post]
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]
25 Apr 2017, 10:49 am
The FINRA complaint alleges that Niekras made fraudulent misrepresentations to an elderly couple in their 90s to collect more than $70,000 in estate and financial planning fees while associated with the brokerage firm MML Investors Services, LLC. [read post]
16 Nov 2016, 12:07 pm
According to FINRA, MML Investors Services, LLC (MMLIS) allegedly overcharged 792 customers on sales of mutual funds and have been ordered to pay close to $1.8 million in restitution. [read post]
5 Aug 2015, 2:06 pm
Diehl has no customer disputes, but he was previously discharged from MML Investors Services, LLC in 2013 over alleged involvement in EIA sales when the firm did not permit such transactions. [read post]
2 Jun 2015, 5:42 pm
According to BrokerCheck, Williamson worked in Florida with MML Investors from 12/1995 – 01/2004 and OneAmerica Securities from 12/2003 – 06/2010. [read post]
18 Mar 2015, 4:05 pm
First with MML Investors Services from 10/1994 – 03/1998, than with Metropolitan Life Infuraves from 04/1998 – 03/2007, and most recently with MetLife Securities from 3/2007 – 12/2012. [read post]
3 Mar 2015, 1:59 pm
Some of the claims also allege that customers made personal loans to Lawrence, which he never paid back.Lawrence first became registered with FINRA in 2002 with MML Investors Services, LLC. [read post]
27 Feb 2015, 6:41 am
Lawrence first became registered with FINRA in 2002 with MML Investors Services, LLC. [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]
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]
28 Sep 2013, 6:08 am
From August 2010 through May 2011, Frazier was associated with MML Investors Services, LLC. [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]
11 Sep 2012, 9:30 pm
Securities fraud attorneys are currently investigating claims on behalf of former clients of Northwestern Mutual Investment Services LLC, MML Investors Services LLC, Wealth By Design Inc. and Clinton D. [read post]
5 Mar 2012, 7:11 am
If you have questions about investments you made with MML Investors Services, LLC, the securities attorneys of The White Law Group may be able to help. [read post]
5 Mar 2012, 7:11 am
If you have questions about investments you made with MML Investors Services, LLC, the securities attorneys of The White Law Group may be able to help. [read post]
2 Jul 2007, 7:17 pm
The fine amounts are $473,000 against MML Investors Services, Inc., $354,000 against NYLIFE Securities LLC, $322,000 against Securities America, Inc. and $100,000 against Northwestern Mutual Investment Services. [read post]
