Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Philip Miceli (Miceli), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Miceli recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 02, 2024.
The complainant alleges that her registered representative, provided her ill-advice, regarding a withdrawal from her inherited IRA, on or about, November 17, 2023, and as a result, she will owe a tremendous amount in taxes.