Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Stein (Stein), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 beginning in 2022, quarterly tax estimates weren’t made related to a distribution, and stock was sold from his account without his authorization, which has put him in a higher tax bracket and has caused him financial harm.