MML Investors Services

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

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Dowds (Dowds), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowds 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 $5,000.00 on May 05, 2023.

The customer alleged that their variable life insurance policy was misrepresented by the representatives in terms of subaccount returns and premiums being sufficient to fund the policy and the subaccounts being invested into the agreed upon asset allocations throughout the policy’s administration which began in 1999.

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

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Rittenhouse (Rittenhouse), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rittenhouse 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 $5,001.01 on July 15, 2025.

The complainants allege several violations beginning in/and around February 2021, that the registered representative engaged in pervasive and high-pressure advisory and investment sales practices, including misrepresentations and failure to provide material disclosures, to the Plan and its participants.

Broker Vincenzo Garganese in MML Investors Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Vincenzo Garganese (Garganese), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Garganese 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 July 15, 2025.

The complainants allege several violations beginning in/and around February 2021, that the registered representative engaged in pervasive and high-pressure advisory and investment sales practices, including misrepresentations and failure to provide material disclosures, to the Plan and its participants.

Broker Sunnie Lee in MML Investors Services, LLC Firm Has Customer Complaint

August 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sunnie Lee (Lee), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lee 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 $6,865.73 on July 28, 2025.

The complainant alleges that in 2019, the producer persuaded her to replace her variable universal life policy with a whole life policy without any explanation of the surrender charges, causing her financial harm

Broker Neil Nissen in MML Investors Services, LLC Firm Has Customer Complaint

August 20, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Neil Nissen (Nissen), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Nissen 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 $800,000.00 on September 16, 2022.

The complainants allege that in July 2022, the rep misrepresented two whole life insurance policies and forged their names on the related documents. They are seeking a return of the premiums paid.

There are Recent Customer Complaints with Broker Aaron Rask in Firm MML Investors Services, LLC

August 17, 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 June 10, 2025.

Customer’s Power of Attorney alleges the income and liquid net worth provided for the customer is inaccurate and requests a review of the customer’s policies.

There are Recent Customer Complaints with Broker Ryan Smith in Firm MML Investors Services, LLC

August 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2025.

The complainant alleges, that beginning in/and around August 14, 2023, he was misled, regarding the purchase of a Whole Life insurance policy, which was funded from a Brokerage Account, and is looking for a return of all premiums paid, given the policy was obtained under misleading and/or inaccurate information.

There are Recent Customer Complaints with Broker Douglas Licari in Firm MML Investors Services, LLC

August 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Licari (Licari), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Licari 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 $200,000.00 on June 24, 2025.

The complainant alleges that in 2013, the rep recommended certain alternative investments, which have since lost money, and which were not good investments.

There are Recent Customer Complaints with Broker Ryan Smith in Firm MML Investors Services, LLC

July 31, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on June 24, 2025.

The complainant alleges, that beginning in/and around August 14, 2023, he was misled, regarding the purchase of a Whole Life insurance policy, which was funded from a Brokerage Account, and is looking for a return of all premiums paid, given the policy was obtained under misleading and/or inaccurate information.

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

July 27, 2025 | 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 May 02, 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.