Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jessica Mosman (Mosman), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mosman 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 $22,312.92 on August 11, 2023.
The policyowner alleges that the purchase of the variable annuities in August and October 2021 were not suitable investment products for him and that the RR did not explain the features of the investment preservation rider and surrender charge periods associated with variable annuity policies. The policyowner has requested a refund of his initial investment.