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MML Investors Services complaint

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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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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Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens

Former NEXT Financial Broker in Virginia Charged with Defrauding Texas Citizens 150 150 Rex Securities Law

March 2, 2015 A Criminal Information was filed by the United States of America vs. Joshua Ray  Abernathy, of Norfolk Virginia, charging him with mail fraud, unlawful monetary transactions and…

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Peter Terlecky, Former Princor Financial Services Broker Named in Regulatory Complaint Over Annuity Swapping

Peter Terlecky, Former Princor Financial Services Broker Named in Regulatory Complaint Over Annuity Swapping 150 150 Rex Securities Law

October 29,2014-Amherst New York The Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) filed a disciplinary complaint against Peter Michael Terlecky, for circumventing his firm’s supervisory and compliance…

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MML Investors Services Fined $125K By FINRA–Failed to Supervise Brokers

MML Investors Services Fined $125K By FINRA–Failed to Supervise Brokers 150 150 Rex Securities Law

The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors by maintaining…

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Darrell Frazier-Former MML Investor Services Broker-Discloses 38 Customer Disputes

Darrell Frazier-Former MML Investor Services Broker-Discloses 38 Customer Disputes 150 150 Rex Securities Law

UPDATE July 2016– FINRA records disclose that Darrell G. Frazier has 17 customer disputes pending and 21 customer disputes that are final. Frazier was employed by MML Investors Services from…

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