MATTHEW STANLEY SINCLAIR is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 565 TAXTER ROAD SUITE 625 6TH FLOOR, ELMSFORD, NY, 10523.
MATTHEW STANLEY SINCLAIR has worked at MML INVESTORS SERVICES, LLC since March 25, 2017
Disclosure History
MATTHEW STANLEY SINCLAIR has 2 Disclosure Event(s).
Date: May 19, 2017 Category: Regulatory Initiated By: State of New York Department of Financial Services Allegations: On or about April 15, 1999, the registered rep violated Section 2123 of the Insurance Law and Regulation 60 (11 NYCRR 51.5) in connection with the replacement of a life insurance policy by providing the applicant with a Disclosure Statement form that contained inaccurate information. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary Penalty other than Fines SanctionDetails: Amount: $750.00
Date: May 02, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE ADVISOR MISREPRESENTED THE VARIABLE LIFE INSURANCE POLICY PURCHASED IN MAY 1999. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED. Settlement Amount: $36,433.54
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