MML Investors Services

Broker Robert Dunbar in MML Investors Services, LLC Firm Has Customer Complaint

June 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Dunbar (Dunbar), previously associated with MML Investors Services, LLC, has at least 4 disclosable events. These events include one customer complaint, 3 regulatory events, alleging that Dunbar 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 $2,528,328.00 on June 10, 2020.

Customer alleges that RR Dunbar misrepresented and/or omitted material facts relating to the sale of a life insurance policy.

There are Recent Customer Complaints with Broker Charles Evan in Firm MML Investors Services, LLC

June 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Evan (Evan), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Evan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on December 18, 2023.

The complainant alleges that the rep misrepresented a universal life policy that he sold to her in/around 2008, which was funded with money from variable annuities and a 401k purchased in/around 2008. She also alleges that the producer charged her consulting fees, misled her and that she trusted his advise to purchase the UL, VAs and the 401k.

Broker Mark Wolpert in MML Investors Services, LLC Firm Has Customer Complaint

June 12, 2025 | by Staff Attorney

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.

Broker Philip Miceli in MML Investors Services, LLC Firm Has Customer Complaint

June 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Miceli (Miceli), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miceli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 02, 2024.

The complainant alleges that her registered representative, provided her ill-advice, regarding a withdrawal from her inherited IRA, on or about, November 17, 2023, and as a result, she will owe a tremendous amount in taxes.

Broker Gary Lear in MML Investors Services, LLC Firm Has Customer Complaint

June 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Lear (Lear), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lear recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 15, 2024.

The complainant alleges that his registered representative, never informed him that he couldn’t withdraw only after-tax deposits in his account, and had he known, he never would have rolled his money over, on or around November 15, 2019.

There are Recent Customer Complaints with Broker Eric Reed in Firm MML Investors Services, LLC

June 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Reed (Reed), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Reed recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 22, 2024.

The Trustee alleges that he was not presented with any options other than the recommended five (5) variable universal life insurance policies he purchased in December 2021.

There are Recent Customer Complaints with Broker Kyle Kirkham in Firm MML Investors Services, LLC

June 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Kirkham (Kirkham), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kirkham 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 $9,000,000.00 on February 14, 2024.

The client alleges in January 2018 the representative’s recommendation of using Portfolio Margin and changes to client’s trading strategies were unsuitable and mispresented material risks.

There are Recent Customer Complaints with Broker Kevin Paasch in Firm MML Investors Services, LLC

June 2, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Paasch (Paasch), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paasch 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 $1,133,740.00 on February 15, 2024.

It is alleged that in 2021, the rep didn’t sell and transfer assets as instructed, and later transferred money that had been in the customer’s joint account over to an account held by just one of the joint account holders, contrary to the instructions that had been given, resulting in financial harm.

Broker Kevin Gutwein in MML Investors Services, LLC Firm Has Customer Complaint

May 24, 2025 | by Staff Attorney

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.

Broker Aaron Rask in MML Investors Services, LLC Firm Has Customer Complaint

May 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Aaron Rask (Rask), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rask recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on April 02, 2025.

Customer alleges the Variable Annuity policies she purchased in December 2020 and April 2021, respectively, were not clearly understood and does not believe these were the right investments.