ALEJANDRO PENA is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 13455 Noel Road, 20th Floor, Dallas, TX, 75240.
ALEJANDRO PENA has worked at MML INVESTORS SERVICES, LLC since March 25, 2017
Disclosure History
ALEJANDRO PENA has 3 Disclosure Event(s).
Date: June 20, 2017 Category: Customer Dispute Allegations: Customer alleged the advisor misrepresented the features of a variable annuity purchased in January 2013.
Date: April 11, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE MISREPRESENTED THE WITHDRAWAL PROVISION OF A VARIABLE LIFE INSURANCE POLICY IN MARCH 2013. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.
Date: June 21, 2012 Category: Customer Dispute Allegations: PLAINTIFFS HAVE ALLEGED THE REPRESENTATIVE MISREPRESENTED THE TAX IMPLICATIONS WHEN THEY WERE ADVISED TO SURRENDER LIFE INSURANCES POLICIES TO PURCHASE VARIABLE ANNUITIES IN JUNE 2010. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED. Settlement Amount: $65,000.00
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