Tag Archives: MML Investor Services

MML Investor Services Stockbroker Fired

June 13, 2017  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Brian Joseph Haney, of Rockville, Maryland, a stockbroker formerly registered with MML Investor Services, LLC, has been terminated from employment on April 17, 2017, based upon allegations that he utilized a third-party document in an unauthorized manner in order to effect a transaction involving one of the firm’s customers. Financial Industry Regulatory Authority (FINRA) Public […]

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Former MML Investors Services Stockbroker Charged With Misrepresentation

Stanley C. Niekras, of Liverpoll, New York, a stockbroker formerly associated with MML Investors Services, LLC, was charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Niekras made misrepresentations to elderly customers pertaining to investments. Department of Enforcement v. Niekras, No. 2013037401001 (Nov. 7, 2016). According to the Complaint, […]

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