ROSS MAYER

ROSS MAYER is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 101 FEDERAL STREET, SUITE 800, BOSTON, MA, 02110.

ROSS MAYER has worked at MML INVESTORS SERVICES, LLC since March 01, 1996

Disclosure History

ROSS MAYER has 3 Disclosure Event(s).

Date: September 23, 2011
Category: Customer Dispute
Allegations: THE COMPLAINANT ALLEGES THAT IN 2009, THE PRODUCER RECOMMENDED THAT SHE SURRENDER HER VARIABLE UNIVERSAL LIFE INSURANCE POLICY TO PURCHASE A UNIVERSAL LIFE POLICY, WHICH WASN'T SUITABLE FOR HER NEEDS.
Broker Comment: INTERNAL CASE #201116052.

Date: July 02, 2011
Category: Customer Dispute
Allegations: THE COMPLAINANT IS CONCERNED ABOUT THE INVESTMENTS THAT WERE RECOMMENDED FOR THE CUSTOMER IN 2006.
Broker Comment: INTERNAL CASE #201115888

Date: September 13, 2007
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THE FUNDS PURCHASED WERE MISREPRESENTED RELATIVE TO RETURN ON INVESTMENT AND LIQUIDITY. ALLEGE THIS PRINCIPAL'S FAILURE TO PROPERLY SUPERVISE THE REGISTERED REPRESENTATIVE RELATIVE TO THESE PURCHASES.
Damage Amount Requested: $127,301.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

To view the full report for ROSS MAYER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.