Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ethan Heisey (Heisey), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Heisey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on September 17, 2024.
On or about May 26, 2023, Mr. Heisey sold a variable life policy to a North Carolina consumer while not licensed as a Variable Life Agent in the State.
