Articles Tagged with MML Investors Services

Brian TraversPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former New York-based MML Investors Services broker Brian Travers has been 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 disputes regarding Mr. Travers (CRD# 4767891).

Brian Travers has spent 12 years in the securities industry and was most recently registered with MML Investors Services in Melville, New York (2013-2017); Lincoln Financial Advisors Corporation in Syosset, New York (2011-2013); MetLife Securities in Hauppage, New York (2009-2011); MML investors Services in Melville, New York (2007-2009); MetLife Securities in Hauppage, New York (2004-2007); Metropolitan Life Insurance Company in Hauppage, New York (2004-2007); and LH Ross & Company in Boca Raton, Florida (2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 2011, and Series 7 (General Securities Representative Examination), which he obtained on June 10, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

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.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2017 indicate that Ohio-based MML Investors Services broker/adviser Rod Skaf has been involved in several denied customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Skaf (CRD# 2822001).

Rod Skaf has spent 20 years in the securities industry and has been registered with MML Investors Services in Dublin, Ohio since March 2017. Previous registrations include MSI Financial Services in Dublin, Ohio (2002-2017); Metropolitan Life Insurance Company in Dublin, Ohio (2002-2007); and Mony Securities Corporation in New York, New York (1996-2002). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1996; Series 7 (General Securities Representative Examination), which he obtained on August 5, 2002; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on November 12, 1996. He is a registered broker and investment adviser with eleven US states and territories: California, Florida, Georgia, Illinois, Maryland, Massachusetts, Michigan, New Jersey, New York, Ohio, Pennsylvania, Texas and Washington.

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

Patrick Foley

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31st, 2017 indicate that New York-based MML Investors Services broker Patrick Foley has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Foley (CRD# 4807449).

Patrick Foley has spent 12 years in the securities industry and has been registered with MML Investors Services in Williamsville, New York since March 2017. Previous registrations include MSI Financial Services in Williamsville, New York (2015-2017); Citizens Securities in Depew, New York (2004-2011); MetLife Securities in Williamsville, New York (2004-2011) and Metropolitan Life Insurance Company in Williamsville, New York (2004-2007). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is registered as a broker in New York.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.

As Seen On
New York Post
abc News
Investment News
Daily News
The Huffington Post
Wall Street Journal