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Thomas Hampton: $100K Complaint Against MML Advisor
Birmingham, Alabama financial advisor Thomas Hampton (CRD# 1730068) allegedly took advantage of a customer, according to a recent investor complaint. Financial Industry Regulatory Authority records indicate that he is a broker and an investment advisor with MML Investors Services, also registered with the firm’s office in Oneonta, Alabama.
Mr. Hampton’s BrokerCheck report discloses one investor complaint. Filed in October 2022, it alleges that as a representative of MML Investors Services, he “convinced the claimant to entrust him with his investment funds and then took advantage of him as part of a plan involving financial planning, investment, and other services akin to selling away,” resulting in financial harm to the customer. The pending complaint alleges damages of $100,000.
According to the Financial Industry Regulatory Authority, Thomas Hampton holds 35 years of securities industry experience. Based in Oneonta and Birmingham, Alabama, he has been a broker and an investment advisor with MML Investors Services since 2017. His registration history includes MSI Financial Services (Birmingham, Alabama; 1993-2017), Metropolitan Life Insurance Company (Birmingham, Alabama; 1993-2007), Lincoln Financial Advisors Corporation (Fort Wayne, Indiana; 1993), and Equico Securities (New York, New York; 1987-1992). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Corporate Securities Limited Representative Examination, or Series 62; and the Uniform Securities Agent State Law Examination, or Series 63. He holds 27 state licenses. (Information current as of February 15, 2023.)
Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.