Articles Tagged with MML Investors Services

| by

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

FINRA BrokerCheck shows a settled customer complaint on August 23, 2024.

CLIENT VERBALLY ALLEGED THAT HE DID NOT AUTHORIZE THE WITHDRAWAL OF FUNDS FROM HIS PREFERRED SAVINGS INVESTMENT AND HE WANTED TO BE CREDITED FOR MISSED INTEREST. February 2024 – June 2024.

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 03, 2025.

The complainant alleges that in 2024, the rep was involved in a matter were a mutual fund was sold without the complainant’s authorization and the proceeds were used to purchase a different mutual fund.

Continue Reading

| by

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 on March 11, 2025.

It is alleged by the complainant that in 2018, the producer recommended a complex financial plan including a series of phony investment schemes and tax benefits, which included premium financed life insurance.

Continue Reading

| by

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 settled customer complaint with a damage request of $130,000.00  on August 05, 2024.

The complainant alleges that beginning in 2020, the producer recommended that he invest in aggressive stocks despite the complainant being a conservative investor. The complainant alleges to have been financially harmed as a result of this advice.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eugene Thomas (Thomas), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thomas 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 $150,000.00 on September 06, 2024.

It is alleged that the rep was negligent and failed to properly render investment advice, financial planning services, portfolio and asset management, and pension consulting services, which caused the Plaintiff to incur an otherwise avoidable tax liability.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kuldeep Madan (Madan), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Madan 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 $1,000,000.00 on October 02, 2024.

The Plaintiffs allege that, beginning in 2022, the producer acted in concert with the Firm to induce the Plaintiffs into purchasing life insurance policies with death benefits exceeding seventeen million dollars by making misrepresentations regarding the risks and benefits of these policies and the associated premium financing. It is further alleged that this included the opening of an investment portfolio account to serve as collateral for the premium financing, and resulted in financial harm to the Plaintiffs.

Continue Reading

| by

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ashish Chowdhry (Chowdhry), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Chowdhry 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 $1,000,000.00 on October 02, 2024.

The Plaintiffs allege that, beginning in 2022, the producer acted in concert with the Firm to induce the Plaintiffs into purchasing life insurance policies with death benefits exceeding seventeen million dollars by making misrepresentations regarding the risks and benefits of these policies and the associated premium financing. It is further alleged that this included the opening of an investment portfolio account to serve as collateral for the premium financing, and resulted in financial harm to the Plaintiffs.

Continue Reading

| by

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

FINRA BrokerCheck shows a final customer complaint on January 25, 2025.

Representative admits that she demonstrated incompetence, within the meaning of Section 2110(a)(4) of the Insurance Law, in that, during the approximate period of March 2021 through December 2021, while appointed as an agent of New York Life Insurance Company, Respondent: (a) electronically signed insurance-related documents without the insureds’ knowledge and/or consent; and (b) in connection with the replacement of life insurance policies, Representative provided each applicant with a Disclosure Statement form that contained false and/or inaccurate information, in violation of Regulation 60 (11 NYCRR 51.5).

Continue Reading

| by

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

FINRA BrokerCheck shows a pending customer complaint on February 05, 2025.

The complainant alleges that the Annuity she purchased in/and around April 2020, was misrepresented by her registered representative, and told her the annuity would never earn less, and would only go up in value. The complainant also states that there was never any mention of a minimum percentage and was expecting to earn 15-20%.

Continue Reading

| by

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 February 09, 2025.

The complainant alleges that the rep sold her unsuitable and inappropriate financial products beginning in 2022.

Continue Reading
Contact Information
295 Madison Ave #705
New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
ATTORNEY ADVERTISING

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

Please do not include any confidential or sensitive information in a contact form, text message, or voicemail. The contact form sends information by non-encrypted email, which is not secure. Submitting a contact form, sending a text message, making a phone call, or leaving a voicemail does not create an attorney-client relationship.

Copyright © 2026, Gana Weinstein LLP
JUSTIA Law Firm Blog Design