FREDRIC ROBERT HOROWITZ

FREDRIC ROBERT HOROWITZ is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 286 MADISON AVE, SUITE 901, NEW YORK, NY, 10017.

FREDRIC ROBERT HOROWITZ has worked at MML INVESTORS SERVICES, LLC since March 01, 1996

Disclosure History

FREDRIC ROBERT HOROWITZ has 2 Disclosure Event(s).

Date: February 22, 2007
Category: Customer Dispute
Allegations: CLIENT'S ATTORNEY ALLEGES VARIABLE ANNUITY PURCHASED IN AUGUST OF 2000 FOR PURPOSE OF DEFERRED COMPENSATION AGREEMENT IS NOT AND WAS NEVER AN ELIGIBLE DEFERRED COMPENSATION PLAN.
Damage Amount Requested: $5,969.21

Date: March 03, 2006
Category: Customer Dispute
Allegations: CLIENT ALLGED THAT REP DID NOT EXPLAIN THAT JUMBO CDS WOULD EXPERIENCE MARKET FLUCTUATION IF SOLD IN THE SECONDARY MARKET
Damage Amount Requested: $8,300.00
Broker Comment: THE FIRM'S INVESTIGATION FOUND NO WRONGDOING ON THE PART OFTHE REP.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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