Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Bradley (Bradley), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bradley recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.
The complainant alleges that the rep advised her to transfer her assets to his firm in 2024 but didn’t disclose the significant capital gains that she would experience when doing this, or the effect this transaction would have on other financial decisions that she made that year, and resulted in a large tax bill