Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Raymond Kubick (Kubick), currently associated with MML Investors Services, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Kubick recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 17, 2021.
The complainant alleges that in or around August 2020, her assets were placed in the wrong risk allocation, which resulted in lower than expected returns.