Corey James Walker, of Manchester, New Hampshire, a stockbroker registered with Northwestern Mutual Investment Services LLC, has been suspended and fined $12,500.00 by New Hampshire Insurance Department because Walker engaged in unapproved solicitations. Case No. INV2022-0002 (September 18, 2023).
Walker, while associated with Northwestern Mutual Investment Services LLC, was involved in sending mass solicitation emails to prospects without the necessary review or approval from Northwestern Mutual. These emails, according to the regulator, were not fair and balanced and were sent into states where Walker was not licensed.
Walker was associated with MML Investors Services LLC in Bedford, New Hampshire from June 21, 2022, to July 6, 2023. On June 8, 2023, MML Investors Services LLC discharged Walker based upon allegations that Walker failed to be forthcoming with the firm regarding a matter involving a state regulator.
Prior to MML, he was associated with Northwestern Mutual Investment Services LLC in Manchester, New Hampshire from May 11, 2017, to July 14, 2022. On June 17, 2022, Northwestern Mutual Investment Services permitted Walker to resign based upon his conduct relating to life insurance applications.
