MML Investors Services

There are Recent Customer Complaints with Broker Tawnya Schwartz in Firm MML Investors Services, LLC

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on October 09, 2020.

The complainant alleges his signature was forged multiple times, without his knowledge or consent on an application for a variable annuity, which was issued on May 31, 2017.

Broker John Murphy in MML Investors Services, LLC Firm Has Customer Complaint

March 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Murphy (Murphy), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Murphy 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 $100,000.00 on October 28, 2020.

The customer alleged that the representative made unsuitable investment recommendations and misrepresented and omitted material information regarding the investment risk and commissions charged; beginning in and around November of 2014.

Broker Alisha Bush in MML Investors Services, LLC Firm Has Customer Complaint

March 20, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alisha Bush (Bush), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bush 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 $7,711.83 on November 24, 2020.

Customers alleged that the representative misled them as to the length of the annuity contract’s surrender period, made changes to the application without consent, and omitted their rights under the free look period when soliciting the sale in and around April of 2020.

There are Recent Customer Complaints with Broker Jeffrey Zelka in Firm MML Investors Services, LLC

March 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Zelka (Zelka), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zelka 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 $38,000.00 on February 24, 2021.

Unsuitability, misrepresentation/omission

Broker Matthew Martinez in MML Investors Services, LLC Firm Has Customer Complaint

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Martinez (Martinez), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Martinez 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 $200,000.00 on April 05, 2021.

Customers allege that representative failed to make suitable recommendations by recommending REITS on 4/29/2015.

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

February 5, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on December 12, 2025.

Beginning in or around 2011, the Claimants allege that the rep failed to advise the owner to activate the GMIB rider on his VA, in which the Respondent had placed all of his retirement savings. As a result, the owner unknowingly lost the right to receive a guaranteed annual income of at least $30,000. Instead, the rep advised the owner to close the VA and open a money market, which has a depleting value.

Broker Joseph Kazlau in MML Investors Services, LLC Firm Has Customer Complaint

January 31, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 21, 2021.

Client alleges the RR misrepresented a variable insurance policy sold in 2021.

There are Recent Customer Complaints with Broker Nicola Caporaso in Firm MML Investors Services, LLC

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicola Caporaso (Caporaso), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Caporaso 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 July 27, 2021.

The complainant alleges that in or around 2014, the rep made unsuitable recommendations and recommended investments that were not consistent with the complainant’s risk tolerance. She further alleges that the rep forged her signature and falsified her insurance application.

There are Recent Customer Complaints with Broker Curt Giacobbe in Firm MML Investors Services, LLC

January 30, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curt Giacobbe (Giacobbe), previously associated with MML Investors Services, LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Giacobbe 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 July 27, 2021.

The complainant alleges that in or around 2014, the rep made unsuitable recommendations and recommended investments that were not consistent with the complainant’s risk tolerance.

Broker Raymond Kubick in MML Investors Services, LLC Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 17, 2021.

The complainant alleges that in or around August 2020, her assets were placed in the wrong risk allocation, which resulted in lower than expected returns.