empty pants pockets

Chander Ketu Goel of New York New York a stockbroker formerly registered with MML Investors Services has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Goel failed to provide information and documents to FINRA when it investigated him for potentially engaging in outside business activities. Letter of Acceptance Waiver and Consent No. 2019064407601 (May 18, 2021).

According to the AWC, in October of 2019, MML Investors Services investigated Goel’s insurance sales practices and his disclosures of outside business activities. The stockbroker was discharged by MML Investors Services on October 11, 2019 based upon accusations that Goel’s sales practices were inappropriate.

Goel was asked by FINRA to provide it with information and documents so that it could look further into the allegations referenced by MML Investors Services. Goel never responded to the regulator’s March 25, 2021 request for his information and documents. The stockbroker told FINRA that he would not respond to its requests at any point. He violated FINRA Rules 2010 and 8210 for hindering FINRA’s investigation.

Goel was registered with MML Investors Services between August 31, 2016 and October 11, 2019.