CHARLES DANIEL PAFF is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 15 READS WAY, SUITE 210, NEW CASTLE, DE, 19720.
CHARLES DANIEL PAFF has worked at MML INVESTORS SERVICES, LLC since April 01, 2003
Disclosure History
CHARLES DANIEL PAFF has 2 Disclosure Event(s).
Date: May 06, 2008 Category: Customer Dispute Allegations: CLIENT HAS ALLEGED THAT A RECOMMENDATION BY REGISTERED REPRESENTATIVE TO DIVERSIFY HER MUTUAL FUND ACCOUNT CAUSED HER TO INCUR $40,000 IN TAXES Damage Amount Requested: $40,000.00
Date: October 14, 1998 Category: Customer Dispute Allegations: FAMILY OF TERMINATED AGENT WANTED SURRENDER CHARGES WAIVED. TERMINATED AGENT CHARGED THAT THE U-5 LANGUAGE WAS TOO STRONG/WRONGFULL TERMINATION. Damage Amount Requested: $107,962.19 Settlement Amount: $15,000.00 Broker Comment: POLICYHOLDERS WERE ALLOWED TO SURRENDER POLICIES WITH ONLY THE COMISSIONS DEDUCTED MINOR MODIFICATIONS WERE MADE ON THE U-5.
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