Eric Eugene Ott of Cincinnati Ohio a stockbroker formerly registered with MML Investors Services LLC has been fined $15,000.00 and suspended for thirteen months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that (1) Ott executed the unauthorized purchases of life insurance policies held in […]
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Tag Archives: Eric Eugene Ott
FINRA Fines MML Broker For Secret Business Activities
March 07, 2019 | Posted by : Guiliano Law Group | Investment and Regulatory News, Selling Away and Outside Activities | 0 Comments