Charles Evan, formerly with MML Investor Services, Barred from Securities Industry
Have you lost money with financial advisor Charles Evan of Wellesley, Massachusetts? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Charles Jonathan Evan. FINRA barred Evan from the securities industry after he failed to respond to a FINRA investigation. FINRA was investigating Evan after there were allegations concerning inappropriate insurance sales practices. Evan has also been the subject of three customer complaints regarding insurance issues.
Charles Evan was a financial advisor and registered representative of MML Investor Services from March 2017 to November 2019. He also was affiliated with MetLife Securities from January 2015 to March 2017. He worked at a branch office in Wellesley, Massachusetts.
Brokerage firms like MML Investor Services have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Massachusetts. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against MML Investor Services.