Tagged with "mml"

FINRA Bars Ex-MML Broker for Selling $3.5 Million of Woodbridge Promissory Notes

Posted on March 5th, 2019 at 9:17 AM
FINRA Bars Ex-MML Broker for Selling $3.5 Million of Woodbridge Promissory Notes

FINRA has barred former MML Investor Services, LLC broker, Floyd Powell for failing to disclose to his firm that he sold unregistered promissory notes to 11 customers and received $104,000 in commissions as a result of the transactions.

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