Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thomas (Thomas), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on September 06, 2024.
It is alleged that the rep was negligent and failed to properly render investment advice, financial planning services, portfolio and asset management, and pension consulting services, which caused the Plaintiff to incur an otherwise avoidable tax liability.
