DID CODY MICHAEL HELLER CAUSE YOU INVESTMENT LOSSES?
Cody Keller Formerly With MML Investors Services, LLC was recently fired, for failing to disclose a regulatory action on his U-4 Form
Who is Cody Keller formerly with MML Investors Services, LLC.
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.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Cody Keller Employment History and Termination
- 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.
Disclosure Events
- Regulatory Action:
- Date: April 25, 2024
- Allegation: Misrepresentation of insurance policy terms in Pennsylvania.
- Resolution: Finalized with a cease-and-desist order and a $1,000 fine on May 29, 2024.
- Employment Terminations:
- MML Investors Services, LLC (September 20, 2024):
- Terminated for failing to disclose the regulatory action on his Form U -4.
- Northwestern Mutual Investment Services, LLC (August 7, 2023):
- Permitted to resign following accusations of improper financial transactions, undisclosed activities, and providing false information.
Cody Keller Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of Cody Keller is a red flag which should put all current and former customers of Cody Keller at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Cody Keller 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?
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 Cody Keller
If you have questions about MML Investors Services, LLC and/or Cody Keller 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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