David William McConnell of Grandview Ohio a stockbroker formerly registered with MML Investors Services LLC has been discharged on May 25, 2017 supported by accusations that McConnell mishandled confidential information from customers and became subject of a customer initiated investment related complaint.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that McConnell is referenced in two more customer initiated investment related disputes pertaining to allegations of McConnell’s misconduct during the time that he was associated with MML Investors Services LLC and New England Securities. Specifically, on September 29, 2015, a customer filed an investment related complaint concerning McConnell’s activities in which the customer sought $5,968.77 in damages founded on accusations that McConnell failed to inform the customer about the sales charges that the customer would have to pay by purchasing a variable annuity.
Then, on April 3, 2017, a customer filed an investment related complaint regarding McConnell’s conduct where the customer requested damages estimated to exceed $5,000.00 based upon allegations that the customer was placed in a variable universal life insurance policy that was not suitable for the customer, and the customer’s financial portfolio had been inadequately managed.
Since October 18, 2017, McConnell has been employed by OneAmerica Securities, Inc.
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