MML Investors Services

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.

There are Recent Customer Complaints with Broker David Macchia in Firm MML Investors Services, LLC

September 17, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 08, 2023.

Client alleged that RR made unsuitable recommendations to invest in a variable annuity and certain other securities on or about March 2, 2022 and March 15, 2022.

Broker Seth Waltz in MML Investors Services, LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 06, 2023.

The complainant alleges that his registered representative, on or around October 2015, provided an unsuitable and misrepresented investment recommendation, in which he sustained a monetary loss.

There are Recent Customer Complaints with Broker Colin Pomer in Firm MML Investors Services, LLC

September 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2023.

The complainant alleges that his registered representative sold stock, without his authorization, in or around, May 2022, and as a result, has incurred a tax liability. The complainant also states that he was sold life insurance he did not need, and he paid fees for financial planning, that were not justified for the services provided.

There are Recent Customer Complaints with Broker Gregory Stein in Firm MML Investors Services, LLC

September 10, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 17, 2023.

The complainant alleges that beginning in 2022, quarterly tax estimates weren’t made related to a distribution, and stock was sold from his account without his authorization, which has put him in a higher tax bracket and has caused him financial harm.

Broker Christopher Burch in MML Investors Services, LLC Firm Has Customer Complaint

September 8, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Burch (Burch), previously associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Burch 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 $361,136.00 on April 28, 2023.

Suitability

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.