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Category: MML Investors Services

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Financial Advisor Amanda Berry Has Six Disclosed Customer Complaints And Regulatory Infractions

Amanda Berry (CRD#: 5651609) is a previously registered Broker. Broker’s Background She entered the securities industry in 2010 and previously worked for MML Investors Services, LLC; and NYLife Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in April […]

Former MML Investors Services Broker Hector Flores Suspended by FINRA

Hector Flores (CRD#: 6637802) is a previously registered Broker. Broker’s Background He entered the securities industry in 2017 and previously worked for MML Investors Services, LLC; and NYLife Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in February […]

Former MML Investors Services Financial Advisor Robert Boyer III Barred by FINRA After Refusing to Participate in Investigation into Unsuitability Allegations

Robert Boyer III (CRD#: 5787312) is a previously registered Broker and Investment Advisor. He entered the securities industry in 2010 and previously worked for J. Alden Associates, Inc.; MML Investors Services, LLC; MSI Financial Services, Inc.; and MML Investors Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in […]

Customer Complaint Pending Against MML Investors Services Financial Advisor Michael Nigro

Michael Nigro (CRD#: 2097646) is a Financial Advisor at MML Investors Services, LLC in New York, NY. He entered the securities industry in 1990 and previously worked for The Dreyfus Service Corporation. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December 2020, FINRA is considering a pending complaint. The […]

MML Investors Services Financial Advisor Sudesh Jain the Subject of More Than A Half-Dozen Customer Disputes

Sudesh Jain (CRD#: 1325905) is a Financial Advisor with MML Investors Services, LLC and has worked in the securities industry since 1985. Sudesh Jain previously worked for NYLife Securities, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in November 2020, Sudesh Jain was the subject of a customer dispute […]

Former MML Investors Services Broker, Charles J. Evan, Barred By FINRA For Refusing To Cooperate In Investigation Regarding Alleged Inappropriate Insurance Sales Practices

Charles Jonathan Evan (CRD # 836083) was a Financial Advisor at MML Investors Services, LLC in Wellesley, MA. Charles Evan has been in the securities industry since 1977 and previously worked at MSI Financial Services, Inc., New England Securities, Manequity, Inc., G.R. Phelps & Co., Inc., PLM Securities Company and Capital Analysts, Incorporated. According to […]

FINRA Barred Financial Advisor, Alberto Sanchez, For Failing To Cooperate In An Investigation Regarding Selling Away

Alberto Sanchez was a former Financial Advisor at Sagepoint Financial, Inc., MML Investors Services, LLC and Principal Securities, Inc. in Fort Lauderdale, FL  Alberto Sanchez entered the securities industry in 2002 and previously worked at Metlife Securities.  According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on June 3, 2019, Alberto […]

MML Investors Services Broker, Patrick Rynn, Has Pending Complaint Alleging Damages Of $459,000

The Wolper Law Firm is currently investigating claims against Patrick Rynn, a Financial Adviser at MML Investors Services in Latham, NY.  Patrick Rynn has been in the securities industry since 2008 and previously worked at Equity Services.    According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 29, 2018, Patrick […]