Tag Archives: Oscar Francis

SEC Bars MML Stockbroker For Stealing From Investors

February 06, 2020  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

“The investors’ funds were used by Francis on strip club bills, alcohol and cocaine. “ Oscar Francis of Fort Lauderdale Florida a stockbroker formerly associated with MML Investors Services LLC has been barred by Securities and Exchange Commission (SEC) from associating with any securities broker dealer or investment adviser based upon the stockbroker being found […]

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FSC Securities Accused Of Variable Annuity Fraud

Eric Lloyd Vogen of Davidson North Carolina a stockbroker currently registered with FSC Securities Corporation is the subject of a customer initiated investment related written complaint which was resolved on March 20, 2017 for $15,000.00 in damages supported by allegations that the customer was not provided information about income benefit provisions on a variable annuity. […]

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MML Stockbroker Investigated By Florida Regulator

May 17, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Oscar Francis of Fort Lauderdale Florida a stockbroker formerly registered with MML Investors Services, LLC is referenced in a Florida Department of Financial Services investigation that was launched on October 23, 2017 concerning the circumstances surrounding Francis’ termination from MML Investor Services. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Francis was terminated from […]

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