Eric Tom (CRD #: 1890823) is facing allegations of unsuitable recommendations, according to his BrokerCheck record, accessed on November 2, 2021. Tom is the principal of Blue Ocean Wealth Solutions and is also a registered advisor with MML Investors. Investors: Eric Tom Misrepresented Features of Variable Life Insurance Policy On November 9, 2020, the […]
Mark Pearcy (CRD#: 2978026), a broker registered with MML Investors Services, was the subject of an investor dispute involving a Variable Universal Life policy (VUL), according to his BrokerCheck record, accessed on November 2, 2021. More details are provided below. Customer Complaint Over Life Insurance Settled for $100,000 On November 13, 2020, a client alleged that […]
Brooklyn based broker Edgar Kledman is barred by FINRA for refusing to cooperate with probe into private securities dealings.