Daniel James Lauletta of Cleveland, Ohio, a stockbroker formerly registered with MML Investors Services LLC, is the subject of an Arkansas Securities Department regulatory investigation in which the Department might file a complaint seeking revocation, administrative fines, and a cease and desist order against Lauletta based upon allegations that Lauletta potentially violated Arkansas Securities Act…
Michael Joseph Giannetti of McKinney, Texas, a stockbroker formerly registered with MML Investors Services LLC, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon findings that he did not comply with the request FINRA made during its investigation into his potential outside business activities while registered…
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…
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,…