Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Murphy (Murphy), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $100,000.00 on October 28, 2020.
The customer alleged that the representative made unsuitable investment recommendations and misrepresented and omitted material information regarding the investment risk and commissions charged; beginning in and around November of 2014.