Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jennifer Silberman (Silberman), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one tax lien, alleging that Silberman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on January 25, 2025.
Representative admits that she demonstrated incompetence, within the meaning of Section 2110(a)(4) of the Insurance Law, in that, during the approximate period of March 2021 through December 2021, while appointed as an agent of New York Life Insurance Company, Respondent: (a) electronically signed insurance-related documents without the insureds’ knowledge and/or consent; and (b) in connection with the replacement of life insurance policies, Representative provided each applicant with a Disclosure Statement form that contained false and/or inaccurate information, in violation of Regulation 60 (11 NYCRR 51.5).
