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MML Investors Services

Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX

Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX 150 150 ER

Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of  Micheal Gianneti,  a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…

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Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX

Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX 150 150 ER

Travis Eiland/ Avantax Wealth Management Investigation August 2022-Baytown, TX  According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest),  discloses a…

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Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Rex Securities Law

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Rex Securities Law

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN

Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN 150 150 ER

Richard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services,  discloses a settled customer dispute and a pending customer…

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Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA

Timothy Cooney-Former Allstate Financial Broker-Permanently Barred From FINRA- Sandwich, MA 150 150 Rex Securities Law

July 2021- Sandwich, MA According to publicly available records Timothy Cooney (CRD#2946727), a  former stockbroker who last worked for Allstate Financial Services,  has been permanently barred from FINRA. The Financial…

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Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL 150 150 Rex Securities Law

April 2019 – Albertville, AL According to publicly available records Floyd Earl Powell  (CRD#2220029) ,  a  stockbroker who is currently not registered,  discloses a regulatory event, 2 pending and 3 final…

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Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX

Thomas H. Oliphint-Discloses Discharge from LPL Financial-San Antonio, TX 150 150 Rex Securities Law

October 2017-San Antonio, TX  We are currently investigating Thomas H. Oliphint , (CRD#1172870) ,  a  stockbroker who is not currently registered and who last was employed by LPL Financial until he was discharged for…

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Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX

Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX 150 150 Rex Securities Law

May 2017- Plano, Texas The FINRA records  of Kyle J. Gardner,  a  stockbroker who is currently employed by  SCF Securities   disclose a pending  customer dispute for losses on investments in real estate investment trusts (REITs). The…

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