Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Lear (Lear), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lear recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 15, 2024.
The complainant alleges that his registered representative, never informed him that he couldn’t withdraw only after-tax deposits in his account, and had he known, he never would have rolled his money over, on or around November 15, 2019.