BERNARD THOMAS GARRAH is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 2012 WEST 25TH STREET, STE 900, CLEVELAND, OH, 44113.
BERNARD THOMAS GARRAH has worked at MML INVESTORS SERVICES, LLC since January 26, 2001
Disclosure History
BERNARD THOMAS GARRAH has 2 Disclosure Event(s).
Date: December 21, 2007 Category: Customer Dispute Allegations: ON 12/21/2007 THE CLIENT ALLEGES THAT POLICY [POLICY NUMBER] WAS SOLD AS A SUPPLEMENTAL RETIREMENT PLAN AND BY HAVING THE POLICY OWNED BY CLIENT HER HEIRS WOULD HAVE TO PAY FEDERAL ESTATE TAXES Damage Amount Requested: $25,000.00 Settlement Amount: $30,000.00
Date: June 03, 1999 Category: Employment Separation After Allegations Firm Name: VESTAX SECURITIES CORPORATION Termination Type: Voluntary Resignation Allegations: IMPROPER SALES PRACTICES - NO FURTHER DETAILS HAVE BEEN PROVIDED BY THE FORMER BROKER/DEALER, VESTAX SECURITIES CORP. Broker Comment: I DENY HAVING ENGAGED IN ANY "IMPROPER SSALES PRACTICES". I DO NOT UNDERSTAND WHAT VESTAX MEANS BY MAKING THIS CHANGE ON FORM U5. AS FAR AS I KNOW, NONE OF MY CUSTOMERS HAVE MADE ANY COMPLAINTS WHATSOEVER. I BELIEVE THAT VESTAX FABRICATED THIS CHARGE AGAINST ME AS A PRETEST FOR EVADING CONTRACTUAL OBLIGATIONS TO MY EMPLOYER HANTZ FINANCIAL SERVICES, INC.
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