Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dexter Baker (Baker), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Baker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 29, 2022.
The complainant alleges that his registered representative, on or about December 2021, transferred the wrong amount of money, out of the wrong variable annuity, resulting in a loss.