Michael Joseph Giannetti of McKinney, Texas, 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 findings that he did not comply with the request FINRA made during its investigation into his potential outside business activities while registered with MML Investors Services. Letter of Acceptance, Waiver, and Consent No. 2021071546601 (March 22, 2022).
The AWC states that on December 1, 2021, FINRA received notification from MML Investors Services that Giannetti voluntarily resigned. By February 17, 2022, FINRA asked for Giannetti to provide documents and information relating to his possible outside business activities. Giannetti was asked to detail whatever activities he performed for businesses outside of his arrangement with MML Investors Services. Giannetti refused to cooperate. Giannetti’s lawyer stated in a March 4, 2022 email that Giannetti would not provide the information or documents. Giannetti violated FINRA Rules 2010 and 8210 for refusing to satisfy FINRA’s requests in the investigation.
Giannetti was registered with MML Investors Services between March 17, 2016, and December 1, 2021.
