Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Gutwein (Gutwein), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Gutwein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $350,000.00 on March 25, 2024.
The complainants allege that their Whole Life Policies, that were issued on/or about July 7, 2022, and the Alternative Investment/Limited Partnership they invested in, in/and around December 2022, were both unsuitable recommendations.