Securities Lawyers Blog
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.