MML Investors Services

Broker William Laury in MML Investors Services, LLC Firm Has Customer Complaint

October 18, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Laury (Laury), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Laury 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 $55,029.00 on April 21, 2023.

The FINRA Arbitration alleges the representative provided incorrect tax advice which resulted in an unexpected tax liability for the customer. The representative denies providing any tax advice to the customer.

There are Recent Customer Complaints with Broker Maria Bruscianelli in Firm MML Investors Services, LLC

October 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on April 14, 2025.

The Customer alleges despite his instructions, beginning in December 2018, his retirement money was invested in aggressive funds causing him to lose money.

Broker Dawn Clark in MML Investors Services, LLC Firm Has Customer Complaint

October 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dawn Clark (Clark), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Clark 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 $75.00 on August 28, 2025.

The complainant alleges that in/and around December 2024, the registered representative opened a Roth IRA account, without her consent.

There are Recent Customer Complaints with Broker Christopher Bradley in Firm MML Investors Services, LLC

October 7, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on September 10, 2025.

The complainant alleges that the rep advised her to transfer her assets to his firm in 2024 but didn’t disclose the significant capital gains that she would experience when doing this, or the effect this transaction would have on other financial decisions that she made that year, and resulted in a large tax bill

Broker Claudio Gambin Neto in MML Investors Services, LLC Firm Has Customer Complaint

October 3, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on November 14, 2022.

The complainant alleges that he was misled, and the investment strategy failed, and the advice and recommendations caused unnecessary loss and expenses.

Broker Eric Tom in MML Investors Services, LLC Firm Has Customer Complaint

October 1, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 28, 2022.

The complainant alleges that his Jackson National Individual Deferred Variable and Fixed Annuity contracts, that were purchased in January 2006, were mismanaged by his registered representative, which resulted in a loss of his retirement savings, and the registered representative breached his fiduciary duty, and contract, and made misrepresentations.

Broker Ganshyam Bhojwani in MML Investors Services, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on December 05, 2022.

The complainant alleges that the registered representative misled her into purchasing an aggressive growth fund on May 24, 2021

Broker Thomas Hampton in MML Investors Services, LLC Firm Has Customer Complaint

September 30, 2025 | by Staff Attorney

The law offices of Gana Weinstein LLP are currently investigating claims that Broker Thomas Hampton (Hampton) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Hampton was employed by MML Investors Services, LLC at the time of the activity. If you have been a victim of Hampton’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $100,000.00 on December 07, 2022.

Beginning in or around 2016, the Claimant alleges that the rep convinced the Claimant to entrust him with his investment funds and then took advantage of him as part of a plan involving financial planning, investment, and other services akin to selling away, which has harmed him financially.

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

September 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 13, 2023.

The complainant alleges that the Whole Life policy, issued on or about April 05, 2022, was misrepresented, and his Brokerage Account, which funded the Whole Life policy, was mismanaged by his registered representative, because of buying and selling securities that he was not advised on, and as a result, he has incurred a loss.

Broker Sheila Groth in MML Investors Services, LLC Firm Has Customer Complaint

September 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sheila Groth (Groth), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Groth 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 $28,000.00 on February 08, 2023.

Regarding a variable annuity purchased in 2021, the complainant alleges that she suffered financial losses because at the time of sale, the rep didn’t disclose to her that the product wasn’t set up as she had initially requested, certain preclusions related to the product weren’t disclosed to her, and changes were made to the annuitant by either the rep or the fund company itself, which she wouldn’t have agreed to, and which affected the death benefit. She wants to be reimbursed for her losses.