Tag Archives: MetLife Securities

MetLife Securities Stockbroker Sanctioned For Impersonation

July 29, 2017  |   Posted by :   |   Forgery   |   0 Comments

Thomas A. Vigil, of Westboro, Massachusetts, a stockbroker formerly registered with MetLife Securities, has been fined $7,500.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he falsified customer accounts documents, impersonated a customer to effect a transaction, and forged […]

Read More »

MetLife Stockbroker Suspended for Outside Business Activities

Michael Joseph Cortes of Hauppauge, New York, was fined $15,000 and suspended for six-months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in all capacities after consenting to findings that he engaged in unauthorized outside business activities; willfully failed to disclose tax warrants and a lien; and borrowed from funds in violation […]

Read More »

MetLife Broker Barred in Customer Loan Investigation

Andre Paul Young, a registered representative with MetLife Securities, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he improperly borrowed $208,000 in funds from customers in violation of his firm’s policies, and failed to cooperate with a FINRA investigation into allegations of […]

Read More »

MetLife Broker Barred for Stealing Customer Funds

Andre Mitchell, a registered representative with MetLife, was permanently barred from associating with any FINRA member firm in any capacity after Financial Industry Regulatory Authority’s Office of Hearing Officers found Mitchell to have converted customer funds in addition to failing to cooperate in a FINRA’s investigation. Department of Enforcement v. Mitchell, No. 2013035618602 (Sept. 28, […]

Read More »

MetLife Securities Broker Accused of Stealing

Andre Mitchell, a registered rep from MetLife Securities, Inc., was charged by the Financial Industry Regulatory Authority in a Complaint alleging that Mitchell misappropriated monies provided to him by an insurance customer. Department of Enforcement v. Andre Mitchell, No. 2013035618602 (Apr. 20, 2015). According to the Complaint, Mitchell was being investigated by FINRA after his […]

Read More »