Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Washington-based MML Investors Services broker/adviser Robert Ahrendt has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ahrendt (CRD# 5183328).
Robert Ahrendt has spent eleven years in the securities industry and has been registered with MML Investors’ Services in Bellevue, Washington since March 2017. Previous registrations include MSI Financial Services in Bellevue, Washington and Edward Jones in Kirkland, Washington (2006-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 7, 2006, and Series 7 (General Securities Representative Examination), which he obtained on August 29, 2006. He is a registered broker and investment adviser with seven US states and territories: Alaska, Arizona, California, Florida, Oregon, Texas and Washington.
According to his BrokerCheck report, Robert Ahrendt has received one pending regulatory complaint and one denied customer complaint.
In October 2017 he was named respondent in a complaint by the State of Washington Office of the Insurance Commissioner in connection to findings he violated a provision of state law “that must be followed as part of licensing expectations,” specifically through his alleged misrepresentation of the terms of an annuity, his recommendation of an unsuitable insurance product, his failure to inform the client of certain features of an annuity, and his failure to submit replacement forms for an annuity product. The complaint remains pending.
In September 2016 a customer alleged Robert Ahrendt, while employed at MSI Financial Services, recommended the purchase of unsuitable variable annuities in April 2015 and May 2016. The customer sought unspecified damages in the complaint, which was denied.
If you or someone you know has lost money investing with Robert Ahrendt, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.