Articles Tagged with MML Investors Services

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Floyd PowellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on September 12, 2018 indicate that former Alabama-based MML Investors Services broker Floyd Powell has received pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Powell (CRD# 2220029).

Floyd Powell has spent 25 years in the securities industry and was most recently registered with MML Investors Services in Albertville, Alabama (2017-2018). Previous registrations include MSI Financial Services in Albertville, Alabama (1992-2017) and Metropolitan Life Insurance Company in Birmingham, Alabama (1992-2007). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 30, 1992, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on March 13, 1992. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, he has received two customer complaints.

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Brett ThieryPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 22, 2018 indicate that Texas-based MML Investors Services broker Brett Thiery has received several unsatisfied tax liens. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Thiery (CRD# 5179667).

Brett Thiery has spent ten years in the securities industry and has been registered with MML Investors Services in Houston, Texas since March 2017. Previous registrations include MSI Financial Services in Houston, Texas (2015-2017); LPL Financial in Houston, Texas (2013-2015); ProEquities in Houston, Texas (2010-2013); and Chase Investment Services in Houston, Texas (2006-2009). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on August 8, 2006, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 31, 2006. He is a registered broker with three US states: Oklahoma, Texas, and Virginia.

According to his BrokerCheck report, he has received four unsatisfied tax liens and was discharged from a former employer in connection to alleged rule violations.

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Tyrone Pang

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 28, 2018 indicate that former California-based MML Investors Services broker/adviser Tyrone Pang, who has received a customer dispute, was sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Pang (CRD# 5406519).

Tyrone Pang has spent seven years in the securities industry and was most recently registered with MML Investors Services in San Jose, California (2017). He was previously registered with NYLife Securities in San Francisco, California (2008-2015). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 25, 2009, and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 31, 2008. He is currently not registered with any state or firm.

According to his BrokerCheck report, Tyrone Pang has received one FINRA sanction and one customer complaint, and was discharged from a former employer in connection to alleged rule violations.

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Milton Knowlton

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 21, 2018 indicate that Tennessee-based MML Investors Services broker/adviser Milton Knowlton has been named in a state regulatory investigation into alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Knowlton (CRD# 272651).

Milton Knowlton has spent 48 years in the securities industry and has been registered with MML Investors Services in Memphis, Tennessee since 1982. Previous registrations include Massachusetts Mutual Life Insurance Company (1969-1988) and Decell Securities Corporation (1980-1983). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 21, 1983; Series 22 (Direct Participation Programs Representative Examination), which he obtained on October 27, 1983; and V06 (Variable Annuities Module Examination), which he obtained on December 12, 1969. He is a registered broker and investment adviser with ten US states and territories: Arkansas, Colorado, Florida, Georgia, Maryland, Mississippi, Missouri, Tennessee, Texas, and Virginia.

According to his BrokerCheck report, he has received one denied customer complaint and was recently named in a regulatory investigation.

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Oscar FrancisPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that former Florida-based MML Investors Services broker/adviser Oscar Francis, who has been named in multiple regulatory investigations, was recently discharged from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Francis (CRD# 5094722).

Oscar Francis has spent eleven years in the securities industry and was most recently registered with MML Investors Services in Fort Lauderdale, Florida (2008-2017). Previous registrations include AXA Advisors in Fort Lauderdale, Florida (2007-2008) and Raymond James & Associates in Boca Raton, Florida (2006-2007). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on August 9, 2006, and Series 7 (General Securities Representative Examination), which he obtained on April 10, 2006. He is currently not registered with any state or firm.

According to his BrokerCheck report, Oscar Francis has been named in two regulatory investigations and was discharged from his former employer in connection to allegations of policy violations.

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John RoginskiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on September 17, 2017 indicate that Pennsylvania-based MML Investors Services broker John Roginski has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roginski (CRD# 2860790).

John Roginski has spent 18 years in the securities industry and has been registered with MML Investors Services in Moosic, Pennsylvania since August 2017. Previous registrations include Securities America in Clarks Green, Pennsylvania (2004-2015); M&T Securities in Buffalo, New York (2000-2004); Prudential Securities in New York, New York (1997-2000); and Meyers Pollock Robbins, which has since been expelled by FINRA, in New York, New York (1997). He has passed four securities industry examinations: series 65 (Uniform Investment Adviser Law Examination); Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 24 (General Securities Principal Examination). He is registered as a broker in Pennsylvania.

According to his BrokerCheck report, John Roginski has received one pending customer complaint.

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Patrick HowellPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 21, 2017 indicate that Connecticut-based MML Investors Services broker/adviser Patrick Howell has been named in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Howell (CRD# 4759452).

Patrick Howell has spent 11 years in the securities industry and has been registered with MML Investors Services in Hamden, Connecticut since May 2017. Previous registrations include Ameriprise Financial Services in Troy, Michigan (2014-2015); Royal Alliance Associates in Birmingham, Michigan (2009-2014); Sigma Financial Corporation in Birmingham, Michigan (2009); National Planning Corporation in Novi, Michigan (2006-2009); and Investors Capital Corporation in Bingham Farms, Michigan (2004-2006). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination); Series 63 (Uniform Securities Agent State Law Examination); and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with two US states: Connecticut and Michigan.

According to his BrokerCheck report, he has received one pending customer complaint.