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Aaron Bockman Of MML Investors Services, LLC And Formerly With MSI Financial Services, Inc. Has Two Customer Complaints For Alleged Broker Misconduct

Who is Aaron Bockman of MML Investors Services, LLC?

Aaron Bockman (CRD #4239866) who is currently registered with MML Investors Services, LLC and located in Chesterfield, Missouri is a subject of one of our many securities industry sales practice abuse investigations.  Prior to MML Investors Services, LLC, Aaron Bockman was associated with MSI Financial Services, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Aaron Bockman Customer Complaints

Aaron Bockman has been the subject of two customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Both of Aaron Bockman’s customer complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Aaron Bockman

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Customer complained the financial advisor treated his account as if it were a trading account when customer insisted that capital preservation was his primary investment goal.
  • Customer alleged that financial advisor failed to follow his instructions with respect to opening of accounts.

Aaron Bockman Red Flags & Your Rights As An Investor

Of course, Aaron Bockman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Aaron Bockman at MML Investors Services, LLC and MSI Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Aaron Bockman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC and MSI Financial Services, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At MML Investors Services, LLC Due To Aaron Bockman

If you have questions about MML Investors Services, LLC, MSI Financial Services, Inc., and/or Aaron Bockman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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