MML Investor Services LLC

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Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX
Travis Eiland- Former Avantax Wealth Management Broker-Settles Customer Suit for $235K- Baytown, TX 150 150 ER

Travis Eiland/ Avantax Wealth Management Investigation February 2024-Baytown, TX  According to publicly available records Travis Eiland a currently unregistered broker who last worked for Avantax Wealth Management (formerly H.D. Vest,…

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  • Robert Rex, Esq.

Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX
Michael J. Giannetti Investigation- Former MML Investors Services Broker-Barred From Securities Industry by Regulators – McKinney, TX 150 150 Robert Rex, Esq.

Michael J. Giannetti Investigation May 2022-McKinney , TX  According to publicly available records Michael J. Giannetti, a former broker who last worked for  MML Investors Services,  discloses a final regulatory matter resulting…

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  • Robert Rex, Esq.

Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX
Hector M. Flores- Former MML Investors Services Broker-Suspended by Regulators/ Sued for $750K- Lubbock, TX 150 150 Robert Rex, Esq.

Hector Flores Investigation May 2022-Lubbock, TX  According to publicly available records Hector Mario Flores, a broker who last worked for  MML Investors Services,  discloses a final regulatory matter, a settled customer…

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Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN
Richard Mukomela- MML Investors Services Broker-Subject of Customer Suit-Plymouth, MN 150 150 ER

Richard Mukomela Investigation November 2021-Plymouth, MN According to publicly available records Richard Duane Mukomela, (CRD# 4370556), a broker with MML Investors Services,  discloses a settled customer dispute and a pending customer…

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  • Robert Rex, Esq.

Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX
Jon Reppert-Former Madison Avenue Securities Broker-Discloses $18.3M Pending Customer Dispute-Addison, TX 150 150 Robert Rex, Esq.

April 2020 -Addison, TX The FINRA records of Jon M. Reppert  , a former stockbroker  who was previously registered with Madison Avenue Securities , disclose an $18.3 million pending customer dispute. The Financial Industry…

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  • Robert Rex, Esq.

Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL
Floyd Powell-Former MML Investors Services Broker- Discloses Regulatory Event & 5 Customer Disputes-Albertville, AL 150 150 Robert Rex, Esq.

April 2019 – Albertville, AL According to publicly available records Floyd Earl Powell  (CRD#2220029) ,  a  stockbroker who is currently not registered,  discloses a regulatory event, 2 pending and 3 final…

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  • Robert Rex, Esq.

Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon
Nicholas R. Radke-Lake Oswego Financial Advisor-Subject of $500K Elder Abuse/Fraud Suit-Klamath County, Oregon 150 150 Robert Rex, Esq.

August 2018-Klamath County, Oregon According to the Herald & News a lawsuit has been filed by the estate of a former resident of Bly, Oregon,  against American Independent Securities Group…

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  • Robert Rex, Esq.

Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX
Kyle J. Gardner-Former MML Investor Services Broker-Discloses Customer Dispute Over REITs-Plano, TX 150 150 Robert Rex, Esq.

May 2017- Plano, Texas The FINRA records  of Kyle J. Gardner,  a  stockbroker who is currently employed by  SCF Securities   disclose a pending  customer dispute for losses on investments in real estate investment trusts (REITs). The…

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  • Robert Rex, Esq.

Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft
Former MML Investors Services Broker From Neptune Beach, FL, Arrested in Iowa for Forgery & Theft 150 150 Robert Rex, Esq.

July 1, 2015 The Financial Industry Regulatory Authority (FINRA) entered a default decision against Jeffrey Alan Stewart barring him from associating with any FINRA member in any capacity for converting…

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