Publicly available records provided by the Financial Industry Regulatory Authority and accessed on August 21, 2017 indicate that former Ohio-based MML Investors Services broker/adviser David McConnell was recently terminated from his former employer in connection to alleged rule violations. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. McConnell (CRD# 325811).
David McConnell has spent 36 years in the securities industry and was most recently registered with MML Investors Services in Grandview, Ohio (2012-2017). Previous registrations include New England Securities in Columbus, Ohio (1987-2012) and the Equitable Life Assurance Society of the United States (1973-1979). He has passed two securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination) and Series 1 (Registered Representative Examination). He is currently not registered with any state or firm.
According to his BrokerCheck report, he was discharged from his former employer and has received two denied customer disputes.
In May 2017, he was terminated from his position at MML Investors Services “in relation to concerns over handling customer confidential information and a customer complaint.”
In April 2017 a customer alleged David McConnell, while employed at New England Securities and MML Investors Services, made unsuitable recommendations and ineffectively managed his finances. The customer sought unspecified damages in the complaint, which was denied.
In 2015 a customer alleged David McConnell, while employed at MML Investors Services, did not tell her there would be sales charges associated with a variable annuity purchase. The customer sought more than $5,900 in damages in the complaint, which was denied.
If you or someone you know has complaints regarding David McConnell, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.