Articles Tagged with MML Investors Services

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Hagan (Hagan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hagan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on May 07, 2024.

The complainant alleges that the registered representative, misrepresented a whole life policy, which was unsuitable for her investment time horizon in 2017, and made an unauthorized EIA Fixed Annuity purchase, on/or about September 13, 2018, by falsifying and signing the application, and never having the complainant sign an annuity disclosure form.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lorraine Geiss (Geiss), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Geiss recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $400,000.00 on May 07, 2024.

The complainant alleges that the registered representative, misrepresented a whole life policy, which was unsuitable for her investment time horizon in 2017, and made an unauthorized EIA Fixed Annuity purchase, on/or about September 13, 2018, by falsifying and signing the application, and never having the complainant sign an annuity disclosure form.

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Hugo Hernandez (Hernandez) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Hernandez was employed by MML Investors Services, LLC at the time of the activity.  If you have been a victim of Hernandez’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,000.00 on June 25, 2024.

The complainant alleges that on/or about January 29, 2024, he met with the registered representative, regarding investing in an alternative investment, and then paid the registered representative $20,000 on/or about February 16, 2024, with the agreement, that he would be paid back within 90 days, with a 15% return. The complainant says that as of June 25, 2024, he has not been paid back, and the checks given to the complainant have bounced, totaling $23,000 and feels this is a misappropriation of investment funds.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alex Blanco (Blanco), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Blanco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,605.44 on July 11, 2024.

The beneficiary alleges that the Financial Professional failed to contact the account owner when the Financial Professional left HTK or when the underlying investment in the account fluctuated in value. The Financial Professional is no longer associated with the firm.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Ricker (Ricker), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ricker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 23, 2024.

CLIENT VERBALLY ALLEGED THAT HE DID NOT AUTHORIZE THE WITHDRAWAL OF FUNDS FROM HIS PREFERRED SAVINGS INVESTMENT AND HE WANTED TO BE CREDITED FOR MISSED INTEREST. February 2024 – June 2024.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Feliz (Feliz), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Feliz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

The complainant alleges that in 2024, the rep was involved in a matter were a mutual fund was sold without the complainant’s authorization and the proceeds were used to purchase a different mutual fund.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Grove (Grove), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grove recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on March 11, 2025.

It is alleged by the complainant that in 2018, the producer recommended a complex financial plan including a series of phony investment schemes and tax benefits, which included premium financed life insurance.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincenzo Garganese (Garganese), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garganese recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $130,000.00  on August 05, 2024.

The complainant alleges that beginning in 2020, the producer recommended that he invest in aggressive stocks despite the complainant being a conservative investor. The complainant alleges to have been financially harmed as a result of this advice.

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.

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kuldeep Madan (Madan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madan 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 $1,000,000.00 on October 02, 2024.

The Plaintiffs allege that, beginning in 2022, the producer acted in concert with the Firm to induce the Plaintiffs into purchasing life insurance policies with death benefits exceeding seventeen million dollars by making misrepresentations regarding the risks and benefits of these policies and the associated premium financing. It is further alleged that this included the opening of an investment portfolio account to serve as collateral for the premium financing, and resulted in financial harm to the Plaintiffs.

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