Brian Patrick Hurley of Braintree Massachusetts a stockbroker formerly registered with MML Investors Services LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations of Hurley’s failure to provide FINRA personnel with information that was requested of him. Case No. 2017054610101 (Feb. 20, 2018).
FINRA imposed a suspension on December 8, 2017, and required that Hurley provide FINRA with the requested information by February 19, 2019 in order for him to avoid further sanctions from the regulator. Apparently, Hurley failed to provide information to FINRA by the deadline, resulting in Hurley having been barred by February 20, 2018.
FINRA Public Disclosure reveals that on June 1, 2017, Hurley was discharged from MML Investors Services LLC supported by accusations that he did not cooperate with the firm concerning a customer initiated investment related compliant. The firm additionally stated that Hurley failed to complete a required certification relating to Hurley’s trading activities.
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