Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Wolpert (Wolpert), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Wolpert 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 $50,000.00 on December 19, 2023.
The complainant alleges that his registered representative misrepresented, and sold him illiquid, unsuitable, complex alternative investments, disguised as a suitable investment strategy, on or about January 28, 2015, and has suffered damages of approximately $50,000.