Financial Advisor Charles J. Evan, MML Investors Services, Wellesley, MA
FINRA Reportedly Bars Advisor Charles J. Evan after Allegations of Inappropriate Insurance Sales
Are you concerned about investments with Charles J. Evan in Wellesley, MA? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.
According to public records on the Financial Industry Regulatory Authority’s website, the regulator has reportedly barred Evan on January 22, 2020 after he purportedly refused to provide information for FINRA’s investigation into his alleged termination from his member firm. FINRA’s investigation was in connection with allegations concerning inappropriate traditional insurance sales practices.
According to his broker report, Evan was reportedly registered with MML Investors Services in Wellesley, MA from 2017 until he was allegedly terminated in 2019. Evan reportedly has 3 pending customer complaints indicated on his FINRA broker report. Allegations include unethical sales practices, among others.
Investigating Potential Lawsuits
The White Law Group is investigating potential securities fraud lawsuits regarding the liability that Evan’s employers may have for failure to properly supervise him.
When brokers violate securities laws, such as making unsuitable investment recommendations, the brokerage firm they are working with may be liable for investment losses through FINRA Arbitration. Brokerage firms that fail to monitor the business activities of their employees may be liable for investment losses due to negligent supervision for the misconduct of their employees.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. We represent investors in FINRA arbitration claims in all 50 states including Massachusetts. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
If you are concerned about your investments with Charles J. Evan, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
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