Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kenneth Conway (Conway), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Conway 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 $14,000.00 on September 30, 2020.
It is alleged that the rep was involved in a matter where it was recommended that the customer purchase alternative investments in or around 2015, which were misrepresented as being conservative investments and were unsuitable.