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Harry Carroll of MML Investors Services and Formerly with MSI Financial Services and NewSquare Capital Has 5 Customer Complaints for Alleged Broker Misconduct

Who is Harry Carroll of MML Investors Services?

Harry Carroll (CRD #2617434) who is currently registered with MML Investors Services and located in Marlton, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.

Prior to MML Investors Services, Harry Carroll was associated with MSI Financial Services, NewSquare Capital, and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Harry Carroll Customer Complaints

Harry Carroll has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses.

Three of Harry Carroll’s 5 customer complaints were settled in favor of investors. Two of Harry Carroll’s customers’ complaints were denied and the customers did not take any further action.

Allegations Against Harry Carroll

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

  • Civil conspiracy, fraud, suitability, and lack of supervision with a stated account loss of $165,000.00 allegedly committed by Harry Carroll.
  • The customer alleges Harry Carroll violated NASD Rule 2310 by not dealing fairly with a customer. The alleged compensatory damage amount was unspecified.
  • The customer alleged that Harry Carroll did not place trades as requested within the sub-accounts of variable annuities.
  • Customers have alleged disappointment in Harry Carroll’s recommendation to invest in Ridgewood Energy.
  • The complainant alleges that he was sold an unsuitable product by Harry Carroll that was designed to be purchased by accredited investors, which he states he was not. He alleges that erroneous financial information was entered on his investment documents so that it appeared that the investment was suitable for him when it was not.

Harry Carroll Red Flags & Your Rights as An Investor

Of course, Harry Carroll 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 that should put all current and former customers of Harry Carroll at MML Investors Services, MSI Financial Services, and NewSquare Capital on alert to review carefully the activity and performance of their accounts and question whether Harry Carroll has engaged in any stockbroker misconduct that may have caused them investment losses.

A large number of customer complaints at MML Investors Services, MSI Financial Services, and NewSquare Capital 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 and MSI Financial Services Due to Harry Carroll

If you have questions about MML Investors Services, MSI Financial Services, and NewSquare Capital, and/or Harry Carroll 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.

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