Brian Travers from Melville, New York Barred From Securities Industry
How to Recover Your Investment Losses
Have you lost money with financial advisor Brian Travers of Melville, New York? We are investigating allegations made by FINRA (the Financial Industry Regulatory Authority), against Brian M. Travers of MML Investors. FINRA barred Brian Travers from the securities industry after he failed to respond to an investigation. FINRA was investigating Travers regarding allegations that he engaged in undisclosed outside business activities and private securities transactions without permission from his brokerage firm, MML Investors Services.
Brian Travers was a financial advisor and registered representative of MML Investors Services from November 2013 to April 2017. He worked at a branch office in Melville, New York. Travers was terminated by MML Investors Services for this conduct.
Brokerage firms like MML Investors 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 Ann Arbor, Michigan; Denver, Colorado; and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including MML Investors Services.
Click to view: Travers, Brian FINRA AWC
Click to view: Travers, Brian BrokerCheck 12.14.17
If you lost money with Brian Travers or MML Investors Services, please CONTACT US at 720-599-3505 for a free evaluation of your case.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.