Cody Keller Barred By FINRA, Tied To MML Investor Dispute About Unauthorized Trading

Investors have reportedly disputed the sales practices of securities broker Cody Michael Keller [CRD: 6669454, Mechanicsburg, Pennsylvania], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keller worked for MML Investors Services LLC from August 17, 2023, to October 14, 2024, after previously being registered with other firms earlier in his career. Investors should continue reviewing the information below to find out more about the disclosures involving Keller.

MML Investors Services Investor Accused Keller Of Unauthorized Trading

Evidently, on October 7, 2025, an MML Investors Services LLC client filed a complaint about Cody Keller. Primarily, the client alleged that Keller engaged in unauthorized trading by making financial decisions without approval and placing funds into whole life insurance without consent. Because of this, the client allegedly incurred damages related to life insurance products. Consequently, the client requested $10,000 in compensation from MML Investors Services LLC or Keller.

Cody Keller Sanctioned By FINRA For Failure To Respond To FINRA Following Employment Terminations By Northwestern Mutual, MML

Notably, FINRA issued Case: 2023079675401 on March 19, 2025, permanently barring Keller from associating with any FINRA member in all capacities. The regulatory action followed an investigation into Keller’s employment history, including his termination from Northwestern Mutual Investment Services LLC and his discharge from MML Investors Services LLC.

Northwestern Mutual reported that Keller resigned after the firm found that he paid a client from his personal bank account in an apparent effort to avoid a complaint, engaged in an undisclosed outside business activity, and did not provide complete or factual responses when questioned. MML later reported that Keller was discharged for failing to disclose a regulatory action with the state of Pennsylvania on his registration forms.

Allegedly, Keller failed to comply with FINRA’s requests for documents and information related to these matters after the regulator formally demanded them as part of its investigation. FINRA determined that Keller received and acknowledged the requests but refused to produce the requested materials, which violated FINRA Rules 8210 and 2010. FINRA barred him from the securities industry due to his refusal to cooperate with FINRA’s investigation.

Northwestern Mutual Investment Services LLC Investor Accused Keller Of Poor Performance

Also, on November 3, 2023, a Northwestern Mutual Investment Services LLC client filed a written complaint about Cody Keller. Mainly, the client alleged that Keller recommended a variable life insurance policy that poorly performed and described the policy as a scam. For this reason, the client allegedly sustained damages linked to life insurance products. As a result, the client requested $5,410 in compensation from Northwestern Mutual Investment Services LLC or Keller. This complaint closed without a resolution on December 20, 2023.

Did You Sustain Losses Because Of Securities Broker Cody Keller?

Did you suffer any investment-related losses because of Cody Keller? If so, reach out to Soreide Law Group at (888) 760-6552 or online and consult with a securities lawyer about a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the US. Also, the firm works on a contingency fee basis and advances all costs. Keller and brokerage firms Keller worked for deny allegations of sales practice violations.