GREGORY HOWARD FRITH is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 116 CHURCH STREET, SUITE 2, RAINBOW CITY, AL, 35906.
GREGORY HOWARD FRITH has worked at MML INVESTORS SERVICES, LLC since March 25, 2017
Disclosure History
GREGORY HOWARD FRITH has 3 Disclosure Event(s).
Date: April 02, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE DID NOT FOLLOW INSTRUCTIONS WHEN DOCUMENTS WERE SIGNED FOR AN IRA PURCHASE; HOWEVER, A VARIABLE ANNUITY WAS ISSUED IN NOVEMBER 2011. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED. Settlement Amount: $21,080.51 Broker Comment: ALLEGATIONS WERE INITIALLY DENIED AND REPORTED ON U4 OF JUNE 2012. UPON FURTHER REVIEW AN OFFER WAS EXTENDED TO THE CUSTOMER WHICH HAS BEEN ACCEPTED.
Date: March 08, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE'S RECOMMENDATION TO TRANSFER THE FUNDS FROM AN EXISTING FIXED ANNUITY INTO A VARIABLE ANNUITY, IN MARCH 2007, WAS NOT APPROPRIATE. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.
Date: August 29, 2005 Category: Customer Dispute Allegations: CLIENTS ALLEGE THAT MR. FRITH ASSURED HER AND HER HUSBAND THAT SHE COULD WITHDRAWAL HER INVESTMENT AT ANY TIME AFTER THE FIRST ANNIVERSARY DATE OF THE ANNUITY CONTRACT PURCHASED ON JULY 2004, WITHOUT PENALTY OR FEE. MOREOVER, MR. FRITH REPRESENTED THAT THE FUNDS IN THE ANNUITY COULD BE WITHDRAWN AT ANY TIME I THE EVENT OF DISABILITY. Damage Amount Requested: $18,888.65
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