Tag Archives: MML Investors Services

FINRA Bars MML Stockbroker For Failure To Cooperate

Brian Michael Travers, of Melville, New York, 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 consenting to findings that he failed to cooperate in an investigation into allegations that he engaged in unapproved private securities transactions […]

Read More »

MML Insurance Rep Liable For Suitability

December 15, 2017  |   Posted by :   |   Variable Annuites   |   0 Comments

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 […]

Read More »

MML Investors Services Broker Barred In FINRA Investigation

Paul E. Smyth, of Fairfield, Connecticut, a registered representative with MML Investors Services, LLC, was permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity after consenting to findings that he obstructed a FINRA investigation into allegations of misappropriating a customer’s insurance payments. According to the AWC, MML Investors Services […]

Read More »