Tag Archives: Roger Allan Duval

MML Investors Services Stockbroker Barred For Stealing From Dead Customers

September 30, 2020  |   Posted by :   |   Elder Financial Abuse, Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft   |   Comments Off on MML Investors Services Stockbroker Barred For Stealing From Dead Customers

Roger Allan Duval of Bellevue Washington 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 founded upon findings that he converted funds belonging to three customers of the securities broker dealer. Letter of Acceptance Waiver and Consent No. 2019062789901 […]

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