Nov 28, 2024

Cody Keller Formerly With MML Investors Services, LLC FIRED

Cody Keller (CRD #6669454) who was formerly registered as a broker with MML Investors Services, LLC and located in Mechanicsburg, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations • Cody Michael Keller has experience spanning multiple roles in the financial industry. He worked for MML Investors Services, LLC, from August 2023 to September 2024, and for Northwestern Mutual Investment Services, LLC, from March 2017 to August 2023. • He is not currently registered. • Keller passed three general industry/product exams and two multi-state securities law exams, including the Series 7 (General Securities Representative) and Series 65 (Uniform Investment Adviser Law Exam). However, his career has been marred by two employment terminations and a regulatory action due to policy violations and disclosure failures. • On September 20, 2024, Keller was terminated by MML Investors Services, LLC, for failing to disclose a regulatory action. This action arose from misrepresenting insurance policy terms in Pennsylvania. • Earlier, on August 7, 2023, Keller was permitted to resign from Northwestern Mutual Investment Services, LLC, following allegations that he paid a customer from his personal bank account to avoid a complaint, engaged in undisclosed outside business activities, and provided misleading responses during internal inquiries.

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Aug 20, 2024

Richard Hagan of MML Investors Services, LLC Reviews

Richard Hagan (CRD #2392157) , located in Wauwatosa, Wisconsin, is currently employed by MML Investors Services, LLC a position he has held since March 2017. He is registered in nine U.S. states and territories and affiliated with one Self-Regulatory Organization. Hagan has completed one principal/supervisory exam and three general industry/product exams, along with one multi-state securities law exam. His professional journey includes previous registrations with MSI Financial Services, Inc. and New England Securities Corporation, highlighting a career that spans multiple firms and states, reflecting a broad and dynamic experience within the financial industry.

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May 5, 2024

Edgar Kleydman of MML Investors Services, LLC

Edgar Kleydman (CRD #2727571) who was formerly registered with MML Investors Services, LLC and located in Brookly, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Edgar Kleydman was associated with AXA Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Edgar Kleydman has had his own regulatory problems. In 2021, he refused to cooperate with the FINRA investigation and appear for non-the-record testimony. Their investigating whether he engaged in private securities transactions without providing written notice to his member firm. As a result, he was permanently barred from any further association with any FINRA member firm in any capacity.

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Apr 3, 2024

Ayad Saad of Morgan Stanley

Ayad Saad (CRD #1912377) who was formerly registered with Morgan Stanley and located in Melbourne, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Morgan Stanley, Ayad Saad was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. He was recently terminated by Morgan Stanley for allegedly providing the firm with inconsistent information during an internal review of his activities in connection with the customer’s account.

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Nov 25, 2023

Darien Bonney formerly with MML Investors Services, LLC

Darien Bonney Formerly With MML Investors Services, LLC Has 5 Customer Complaints For Alleged Broker Misconduct Mr. Bonney (CRD #4899007) who was formerly registered with MML Investors Services, LLC and located in Scottsdale, Arizona, is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Darien Bonney was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Darien Bonney has had his own regulatory problems. After he was terminated by MML Investors Services in connection with an investigation into undisclosed outside business activities and unauthorized investment activities. In 2022, he was permanently barred from any further association with any FINRA member firm in any capacity for failing to cooperate and respond to questions propounded in a FINRA investigation.

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Apr 22, 2023

Matthew Bailey of MML Investors Services, LLC

Matthew Bailey Of MML Investors Services, LLC Has 4 Customer Complaints For Alleged Broker Misconduct Bailey (CRD #4634308) who is currently registered as a broker with MML Investors Services, LLC and located in Cincinnati, Ohio, is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Matthew Bailey was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Jul 26, 2022

Claudio Gambin Neto of MML Investors Services, LLC

Claudio Gambin (CRD #5752180) who is currently registered with MML Investors Services, LLC and located in Orlando, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Claudio Gambin was associated with Northwestern Mutual Investment and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 7, 2022

Adam Laakko Formerly With MML Investors Services

Adam Laakko Formerly With MML Investors Services And MSI Financial Services Has A Customer Complaint For Alleged Broker Misconduct Mr. Laakko (CRD #5876826) who was formerly registered with MML Investors Services and located in Grand Rapids, Michigan is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Adam Laakko was associated with MSI Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Mar 7, 2022

Kevin Dicke Formerly With MML Investors Services

Kevin Dicke Formerly With MML Investors Services Has A Customer Complaint For Alleged Broker Misconduct Mr. Dicke (CRD #4584138) who was formerly registered with MML Investors Services and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations.

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Mar 4, 2022

Charles Evans of MML Investors

Charles Evan (CRD# 836083) who was most recently registered with MML Investors Services and located in Wellesley, Massachusetts is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, Charles Evan was associated with MSI Financial Services, New England Securities and 4 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Charles Evan was terminated by MML Investors, Services in October 2019.

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