| Read Time: 2 minutes | MML Investors Complaints | News & Articles |


Charles Dowds, III Of MML Investors Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Charles Dowds, III of MML Investors Services, LLC?

Charles Dowds, III

Charles Dowds, III (CRD #2073605) who is currently registered as a broker and investment adviser with MML Investors Services, LLC and located in Newtown Square, Pennsylvania, is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, Charles Dowds, III was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Charles Dowds, III Customer Complaints

Charles Dowds has been the subject of 3 customer complaints that we know about investment losses.  Two of Charles Dowds’ customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Charles Dowds’ former employer, New England Securities, for investment losses caused by the alleged misconduct.

Allegations Against Charles Dowds, III

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

  • Misrepresentations related to variable life insurance policy.
  • Unsuitable recommendations of variable universal survivorship life insurance policy along with investments and subaccounts.
  • Variable life insurance policy was misrepresented in terms of subaccount returns and premiums being sufficient to fund the policy.

Charles Dowds, III Red Flags & Your Rights As An Investor

Of course, Charles Dowds, III 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 Charles Dowds, III at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Charles Dowds, III has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at MML Investors Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At MML Investors Services, LLC Due To Charles Dowds, III

If you have questions about MML Investors Services, LLC and/or Charles Dowds, III 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars