Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harrison Nathan (Nathan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nathan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $200,000.00 on January 21, 2021.
The complainant alleges that beginning in or around 2012, his portfolio was churned when inappropriate transactions were made in an effort to maximize the rep’s commissions at his expense.