Charles Evan (CRD#: 836083), formerly a registered representative with MML Investors Services LLC (CRD#: 10409) in Wellesley, Massachusetts, was recently terminated from MML Investors Services LLC  and is currently involved in three pending customer disputes, according to his BrokerCheck record accessed on January 17, 2020. How did this all unfold? On October 28, 2019, MML…

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Chander Goel (CRD#: 4588999), formerly a registered representative with MML Investors Services, LLC (CRD#: 10409) in New York, New York, was terminated from his position at MML Investors Services, LLC on October 11, 2019, according to his BrokerCheck record accessed on December 11, 2019. What happened? Chander Goel was “in connection with inappropriate traditional insurance…

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Zoom confusion

Bernie Audet (CRD#: 1317819), a registered representative with MML Investors Services, LLC (CRD#: 10409) in Newtown Square, Pennsylvania, is currently involved in two pending customer disputes over variable universal life insurance policies, according to his BrokerCheck record accessed on October 23, 2019. In a customer dispute filed on September 24, 2019, the owner of a…

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Timothy E. Johnson  (CRD#: 5701828) was terminated from MML Investors Services, LLC in Lawrenceville, Georgia “in connection with an investigation into the registered representative’s diversion of customer funds for his own use” according to his BrokerCheck report accessed on September 3, 2019. When you invest with a broker, you expect that your portfolio will be…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 16, 2019 indicate that former Florida-based MML Investors Services broker/adviser Oscar Francis has been sanctioned by the SEC in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that Florida-based MML Investors Services broker/adviser Sudesh Jain has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Jain (CRD# 1325905). Sudesh Jain has spent 32 years…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 31, 2019 indicate that New York-based MML Investors Services broker Alex Blanco has received a pending customer complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Blanco (CRD# 3146376). Alex Blanco has spent 17 years…

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Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 28, 2018 indicate that Arizona-based MML Investors Services broker Michael Lucas has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Lucas (CRD# 5695141). Michael Lucas has spent eight years in…

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Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 22, 2018 indicate that former Nebraska-based MML Investors Services broker/adviser Chad Mackland was recently terminated 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…

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Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 29, 2018 indicate that Indiana-based MML Investors Services broker Michael Forester has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Forester (CRD# 5975985). Michael Forester has spent six years in…

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