Alyssa Jean Schultz of Milwaukee Wisconsin a stockbroker registered with MML Investors Services LLC has been terminated by the firm on December 8, 2017 founded on allegations that Schultz was subject of a customer complaint and failed to preserve records in accordance with the company’s policy.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that on January 4, 2017, a customer initiated investment related complaint regarding Schultz’s conduct was settled for $27,687.99 in damages based upon accusations that in April of 2016, during the time that Schultz was associated with MSI Financial Services Inc., she made unsuitable recommendations to the customer concerning the switch of funds from an indexed annuity to an investment advisory account.
Schultz has been employed by Pruco Securities, LLC since March 9, 2018.
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