Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Clark (Clark), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $75.00 on August 28, 2025.
The complainant alleges that in/and around December 2024, the registered representative opened a Roth IRA account, without her consent.