Securities Lawyers Blog
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.