Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 8, 2017 indicate that former Nebraska-based MML Investors Services broker/adviser Karl Dierman has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with firms that sell securities to the public. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Dierman (CRD# 4588870).
Karl Dierman has spent 11 years in the securities industry and was most recently registered with MML Investors Services in Columbus, Nebraska (2011-2014). Previous registrations include Royal Alliance Associates in Columbus, Nebraska (2006-2010) and MML Investors Services in Omaha, Nebraska (2002-2006). He is currently not registered with any state or firm.
According to his BrokerCheck report, Karl Dierman has received three customer complaints and one regulatory sanction.
In 2015 a customer alleged Karl Dierman, while employed at MML Investors Services, forged her signature on several loan request documents and misappropriated funds. The complaint settled in 2015 for $39,000.
In 2014 a customer alleged Karl Dierman, while employed at MML Investors Services and Royal Alliance Associates, borrowed money which he never returned. The complaint settled in 2015 for $6,800.
In 2014 FINRA sanctioned him following allegations he failed to respond to a request for information. He was permanently barred from association with any FINRA member in any capacity.
In 2014 he was “permitted to resign” from his position at MML Investors Services following allegations “regarding a loan obtained from a customer.”
If you or someone you know has lost money investing with Karl Dierman, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.