Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Hyland (Hyland), previously associated with Fortune Financial Services, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hyland 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 $620,000.00 on December 06, 2021.
MML Investors Services, LLC was made aware, by the State of Connecticut Securities and Business Investments Division, of allegations that the registered representative received personal loans from a customer and the registered representative failed to repay all or part of these loans. The registered representative received these loans in various amounts and frequencies from 2001 to 2015.