DID TONY ROBERTS CAUSE YOU INVESTMENT LOSSES?
Tony Roberts Of MML Investors Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct
About Tony Roberts of MML Investors Services, LLC? Tony Roberts
Tony Roberts (CRD #2691066) is currently employed with MML Investors Services, LLC, registered since March 25, 2017. His registration history shows experience with several other firms including MSI Financial Services, Inc., Investors Capital Corp., and Ladenburg Capital Management Inc. Roberts has passed two general industry/product exams (Series 7 and SIE) and one multi-state securities law exam (Series 63). He is licensed in 11 U.S. states and territories. His career in the financial industry, marked by a variety of registrations since 1996, highlights his long-term involvement and geographic reach within the sector.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Tony Roberts Customer Complaints and Reviews
Tony Roberts has several disclosure events noted in his report:
- Customer Disputes: There are three customer disputes listed in his report.
- A settled case from his time at Investors Capital Corp., where the claimant alleged that the investment strategy from 2003 to 2010 was unsuitable, resulting in a settlement of $92,000 in 2014.
- Two other disputes are noted as either closed with no action, withdrawn, or dismissed.
- Regulatory Actions: No specific regulatory actions are listed in the provided segments, indicating the focus is primarily on customer disputes.
- Other Disclosures: No further disclosures such as bankruptcy or criminal actions are mentioned in the accessible sections of the report.
Allegations Against Tony Roberts
The allegations and accusations detailed in the customer disputes involving Tony Roberts include:
- Unsuitability: The settled dispute involved allegations of an unsuitable investment strategy that the client claimed led to market losses over several years.
- Mismanagement Allegations: In another instance, a complainant alleged mismanagement of funds starting from 1982 and claimed that Roberts refused to close her accounts when requested.
Tony Roberts Red Flags & Your Rights As An Investor
Of course, Tony Roberts 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 Tony Roberts at MML Investors Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Tony Roberts 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?
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 Tony Roberts
If you have questions about MML Investors Services, LLC and/or Tony Roberts 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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