| Read Time: 2 minutes |

DID JAMES CHARLES BROCKE CAUSE YOU INVESTMENT LOSSES?

James Brocke of MML Investors Services, LLC And Formerly With James C. Brocke CFP Has One Customer Complaint For Alleged Broker Misconduct

Who is James Brocke of MML Investors Services, LLC?

James Brocke (CRD #31104) who is currently registered with MML Investors Services, LLC and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to MML Investors Services, LLC, James Brocke was associated with James C. Brocke CFP and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

James Brocke Customer Complaint

James Brocke has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that the complainants allege that the representative’s advice to transfer the cash values from their traditional life insurance policies to their variable life insurance policy resulted in a tax bill, reduced their overall death benefit and allocated the majority of the funds within the variable life insurance policy’s subaccounts to equities, which concerns them given their ages and objectives. The customer complaint filed against James Brocke’s current employer MML Investors Services, LLC for investment losses caused by the alleged misconduct is pending as of the date of this report.

James Brocke Red Flags & Your Rights As An Investor

Of course, James Brocke 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 James Brocke at MML Investors Services, LLC and James C. Brocke CFP on alert to review carefully the activity and performance of their accounts and question whether James Brocke 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 James C. Brocke CFP 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.

File A Claim To Recover Your Investment Losses At MML Investors Services, LLC Due To James Brocke

If you have questions about MML Investors Services, LLC, James C. Brocke CFP, and/or James Brocke 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 has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...