FINRA Suspends MML Broker For Failure To Comply

stockbrokerfraud13 - FINRA Suspends MML Broker For Failure To Comply

Tyler V. Schultz of Meridian Idaho a stockbroker formerly registered with MML Investors Services LLC has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that Schultz declined to provide FINRA information about his business activities or sales practices after it had been requested of him by FINRA personnel. Case No. 2017055687301 (Jan 29, 2018).

FINRA Public Disclosure confirms that on October 17, 2017, a customer filed an investment related complaint regarding Schultz’s conduct was settled to resolve allegations that while Schultz was associated with MML, misrepresentations had been made to the customer concerning a whole life insurance policy that had been purchased by the customer in 2016 using proceeds from the customer’s mutual fund holdings.

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