Investors may have suffered financial harm by securities broker Tony Roberts [CRD: 2691066, Huntington, New York], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Tony Roberts has worked for MML Investors Services LLC as a securities broker since March 25, 2017, and as a financial advisor since May 11, 2021. See the following information to discover more about the disclosures involving Tony Roberts.
MML Investors Services LLC Investor Accused Roberts Of Mismanagement
Particularly, on March 6, 2026, a MML Investors Services LLC client filed a complaint about Tony Roberts. Mainly, the client alleged that Roberts misappropriated funds from accounts, mismanaged investment accounts, opened and closed accounts without the client’s knowledge, and refused to close accounts when requested. Because of this, the client allegedly sustained damages on mutual funds, variable annuities, managed accounts, and stocks. Therefore, the client requested $600,000 in compensation from MML Investors Services LLC or Roberts. However, the firm denied this complaint.
Tony Roberts Disclosed Misrepresentation Allegations By MSI Financial Services Inc. Client
Also, a client of MSI Financial Services Inc. contested Tony Roberts’ sales practices, according to a complaint dated August 15, 2023. Allegedly, Roberts made misrepresentations by indicating that a real estate security was guaranteed after ten years when the investment allegedly did not perform as represented. It appears that Roberts allegedly caused the client to incur damages linked to real estate securities. As a result, the client sought compensation from MSI Financial Services Inc. or Roberts in this matter. However, the firm denied this complaint.
Investors Capital Corp. Investor Accused Roberts Of Unsuitable Recommendations
Additionally, an Investors Capital Corp. client filed FINRA Arbitration No. 12-03959 about Tony Roberts. Primarily, the client alleged that Roberts made unsuitable recommendations concerning an investment strategy for the client’s account. For this reason, the client allegedly incurred damages associated with mutual funds, exchange-traded funds, and stocks. Consequently, on June 16, 2014, Investors Capital Corp. settled this matter by paying the client $92,000.
Did You Invest Through Securities Broker / Financial Advisor Tony Roberts?
Are you worried about investments you made through Tony Roberts? You should contact Soreide Law Group at (888) 760-6552 or online and talk to a securities attorney regarding a potential recovery of your investment losses. Soreide Law Group has recovered losses for many clients throughout the US. Also, our securities lawyers work on a contingency fee basis and advance all costs. Roberts and brokerage firms Roberts worked for deny accusations of sales practice violations.
