Robert Evan Ahrendt, of Bellevue, Washington, a stockbroker currently registered with MML Investors Services, LLC, is the subject of an Office of the Insurance Commissioner Order containing findings that he made unsuitable insurance product recommendations to a customer, made misrepresentations regarding terms of an annuity, omitted information from a customer about an annuity’s features, and failed to provide appropriate replacement documentation relating to a customer’s purchase. OIC Order No. 17-0207 (Oct. 10, 2017).
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on September 14, 2016, a customer filed an investment related written complaint involving Ahrendt’s conduct, founded on allegations that in April of 2015 and May of 2016, during which time Ahrendt was associated with MSI Financial Services, Inc., Ahrendt made unsuitable recommendations to the customer relating to a variable annuity.
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