Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Colin Pomer (Pomer), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pomer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on April 17, 2023.
The complainant alleges that his registered representative sold stock, without his authorization, in or around, May 2022, and as a result, has incurred a tax liability. The complainant also states that he was sold life insurance he did not need, and he paid fees for financial planning, that were not justified for the services provided.