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Recent Posts in MetLife Securities Category

NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats

The North American Securities Administrations Association (NASAA) announced the top threats to investors, identifying the most frequent sources of current investor complaints or industry ...
Continue reading "NASAA Identifies Notes, Real Estate, Ponzi, Oil and Gas, Affinity Fraud, and Variable Annuities as Biggest Investor Threats" »

Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account

FINRA fined and suspended former Voya Financial Advisors and MetLife Securities representative Jose J Perez for directing his assistant to impersonate a customer in order to effect a transfer of ...
Continue reading "Jose J. Perez Sanctioned for Impersonating Client's Brother to Request Retirement Funds Transfer; Requests Transfer from Wrong Account" »

New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"

The complex product known as a variable annuity has become a little more complicated with the introduction of a new type of VA known as a buffer annuity. Buffers, like conventional VAs, are highly ...
Continue reading "New Complex Buffer Annuity Drawing Regulator's Interest: "Does the firm understand it? Does the rep?"" »

MetLife Securities Ordered to Pay Record-High $25 Million for Negligent Variable Annuity Replacement App Misrepresentations and Omissions

FINRA fined MetLife Securities, Inc. an industry-record $20 million and ordered an additional $5 million payable to customers it says were harmed by the firm's negligent material ...
Continue reading "MetLife Securities Ordered to Pay Record-High $25 Million for Negligent Variable Annuity Replacement App Misrepresentations and Omissions" »

MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations

MetLife Inc. announced it is expecting a "significant fine" for potential variable annuities (VA) violations originating from affiliated broker-dealer MetLife Securities, Inc. (MSI), which ...
Continue reading "MetLife: FINRA to Seek Significant Fine for Variable Annuities Violations" »

Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission

FINRA suspended former MetLife Securities Inc. broker Loreta Salinas Nelson of Murrieta, California for engaging in an unapproved outside business activity by serving as a co-trustee for an elderly ...
Continue reading "Loreta Salinas Nelson Fined & Suspended for Serving as Co-Trustee for 100-year-old Client Without Firm Permission" »

Former MetLife Brokers Christopher Birli & Patrick Chapin Named in Civil Complaint Regarding $21 Million Annuities Scheme

FINRA filed a regulatory complaint against former MetLife Securities Inc. brokers Christopher Birli and Patrick Chapin, alleging the two schemed for seven years to artificially inflate commissions by ...
Continue reading "Former MetLife Brokers Christopher Birli & Patrick Chapin Named in Civil Complaint Regarding $21 Million Annuities Scheme" »

Bill Alvin Ahlswede Fined and Suspended for False Information, Failing to Disclose Complaint Alleging Churning and Fraud

FINRA suspended Metlife Securities, Inc. associate Bill Alvin Ahlswede of Menifee, California for failing to disclose a complaint when he filed his industry-mandated Form U4. Similarly, FINRA charged ...
Continue reading "Bill Alvin Ahlswede Fined and Suspended for False Information, Failing to Disclose Complaint Alleging Churning and Fraud" »
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