MML Investors Services

There are Recent Customer Complaints with Broker Matthew Bailey in Firm MML Investors Services, LLC

July 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Bailey (Bailey), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bailey 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 $27,511.00 on March 25, 2020.

Customer alleges that the recommendation, in April 2015, to transfer the proceeds from an inherited IRA into a traditional IRA caused a mandatory distribution and tax liability. Customer requested reimbursement for the tax liability.

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

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kevin Dicke (Dicke), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dicke 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 $120,000.00 on March 30, 2020.

The customer alleged that the representative made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker Joshua Plank in Firm MML Investors Services, LLC

July 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joshua Plank (Plank), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Plank 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 $120,000.00 on March 30, 2020.

The customer alleged that the representative made unsuitable investment recommendations.

There are Recent Customer Complaints with Broker William Schulte in Firm MML Investors Services, LLC

July 22, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 01, 2020.

Customer alleges the Mainstay Mutual Fund account he opened in March 2020 was for the purpose of having funds deposited into a no risk account however his funds were instead deposited into an account that had risks tied to the stock market.

Broker Dustin Tuthill in MML Investors Services, LLC Firm Has Customer Complaint

July 22, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Tuthill (Tuthill), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tuthill 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 $1,100.00 on March 31, 2020.

The complainant alleges that the rep forged his signature on an application for whole life insurance in 2019.

Broker Teresa Partain in MML Investors Services, LLC Firm Has Customer Complaint

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Teresa Partain (Partain), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Partain 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 $414,869.00 on April 20, 2020.

Client alleges breach of fiduciary duty, negligence respondeat superior liability – noble and violation of ga uniform securities act 2008, for moving her investment in late 2018 and the calendar year of 2019 + loss of principal in the investment during that year.

There are Recent Customer Complaints with Broker Andrew Stauff in Firm MML Investors Services, LLC

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Stauff (Stauff), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stauff 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 $500,000.00 on April 27, 2026.

The complainants allege that the rep was involved in a matter in 2024 where he provided the complainants with a referral to a third party, who accepted $500,000 from the complainants to obtain a line of credit for them to make interest payments on whole life insurance policies, but who failed to complete the transaction or return the funds. The complainants further allege that, despite red flags surrounding this third party, the rep recommended they work with him to secure financing.

Broker Scott Grove in MML Investors Services, LLC Firm Has Customer Complaint

June 17, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Scott Grove (Grove), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Grove 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 $5,001.00 on May 10, 2026.

The complainant alleges that the VUL policy that the registered representative recommended made no sense because the exchange from his Whole Life policy resulted in approximately $44,000 loss in cash value, a drop in death benefits from over $2.8 million with the Whole Life policy to only $1.7 million with the VUL, as well as a triggered tax liability.

Broker Joseph D’amore in MML Investors Services, LLC Firm Has Customer Complaint

June 13, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on May 04, 2026.

It is alleged that in or around June/July of 2024, the rep recommended that the complainant liquidate her existing variable annuity based on information that May have been misrepresented, causing her to forfeit its guaranteed income benefit with a 6% income stream in favor of establishing a non-guaranteed investment portfolio with ongoing fees, expenses and annual taxation.

There are Recent Customer Complaints with Broker Jawed Aslam in Firm MML Investors Services, LLC

June 13, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jawed Aslam (Aslam), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Aslam 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 $234,171.07 on April 30, 2026.

The complainant alleges that the VUL that was sold to her in 2010 was misrepresented by the rep, that the illustrations were physically altered and that there was an unauthorized collection of signed blank checks to make premium payments. It is alleged that 15 years of market opportunity was lost.