September 26, 2011 Comments (0) Blog, Securities Fraud

Securities Regulatory Information Regarding MML Investors Services

(Last Updated On: July 17, 2015)

The following is a brief breakdown of publicly available information regarding MML Investors Services and its securities sales practices and FINRA regulatory history.

MML Investors Services is a FINRA registered broker-dealer based in Springfield, Massachusetts.  The firm is the broker-dealer arm of MassMutual.

Although MML Investors Services has a solid reputation in the securities industry, investors should know that the firm does have numerous reportable events on its FINRA Broker Report (or CRD).

According to the firm’s CRD, MML Investors Services has been named in at least 9 regulatory events related to possible securities fraud violations.  The firm has been the subject of investigations conducted by FINRA, the State of Nevada Securities Division, the State of Vermont, and the Maryland Securities Commissioner (among others).  These regulatory investigations involved the following investment products (among others): equities, mutual funds, and variable annuities.

The foregoing is but a brief summary of the firm’s FINRA Broker Report.  To access MML Investors Services’ full CRD, you can visit http://brokercheck.finra.org.

If you have any questions about investments you made with MML Investors Services, or if you believe that you have been the victim of a securities fraud, The White Law Group may be able to help.  To contact the firm, please call 312/238-9650 or 561/807-6804.

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Boca Raton, Florida.

For more information on The White Law Group, please visit http://www.whitesecuritieslaw.com.

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