Trevor Uhls: FINRA Bars Former MML Advisor

Former MML Investors Services representative Trevor Uhls (CRD# 6872250) has been sanctioned and barred by the Financial Industry Regulatory Authority in connection with alleged rule violations. FINRA records show that he is a former associated person no longer registered with a FINRA member firm.

A Letter of Acceptance, Waiver, and Consent (No. 2026088975901) issued by FINRA details its disciplinary action against Mr. Uhls. Filed in May 2026, it outlines FINRA’s findings that he refused to provide documents and information the agency requested as part of an investigation into whether he “engaged in fraud through the unauthorized sale of promissory notes.” Among other records, it requested his “financial and telephone records.”

According to the Letter, FINRA sent him this request under the auspices of FINRA Rule 8210, which empowers the regulator to require persons under its jurisdiction to provide such information with respect to any matter under FINRA’s investigation. The rule also provides that such persons will not fail to comply with these requests, specifying that violations of this rule constitute violations of FINRA Rule 8210. This rule requires persons associated with FINRA to “observe high standards of commercial honor and just and equitable principles of trade.”

The Letter states that FINRA sent its request to Mr. Uhls on April 21, 2026, and he indicated to the agency via counsel on April 30, 2026 that he would not produce the requested documents and information. As a result, FINRA found that he violated Rule 8210 and Rule 2010. Without admitting to or denying the allegations, Mr. Uhls consented to the findings and FINRA’s imposition of a bar from associating with any member firm in all capacities.

For reference, the execution of unauthorized transactions may violate FINRA Rule 3260, which establishes specific conditions in which brokers like Mr. Uhls may conduct trading without first consulting their client. Unauthorized trading may also violate FINRA Rule 2010, which stipulates that brokers must “observe high standards of commercial honor and just and equitable principles of trade.” A third important rule investors should be aware of is FINRA Rule 2020, which states that no broker may “effect any transaction in, or induce the purchase or sale of, any security by means of any manipulative, deceptive or other fraudulent device or contrivance.” Brokers who executed unauthorized trades may be held liable for damages and/or subject to disciplinary action.

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