Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Stiles (Stiles), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stiles 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 $895,869.65 on December 14, 2024.
The complainant’s alleged their registered representative sold them Variable Annuities in/and around 2014 and 2019, which were misrepresented, and unsuitable. The complainants also allege that a Whole Life policy was sold, and that too was unsuitable.
