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Investor Alleges Aaron Rask Made Unsuitable Investment Recommendations

Aaron Rask (CRD #: 5960444), a broker registered with MML Investors Services, allegedly gave unsuitable investment recommendations, according to his BrokerCheck record, accessed on April 1, 2025. Keep reading if you want to know more about his alleged conduct as a broker.

Investor Dispute

On February 9, 2025, an investor alleged that Aaron Rask recommended unsuitable investments starting in 2022. This dispute is currently pending.

FINRA Rule 2111

FINRA Rule 2111 requires brokers to tailor their investment recommendations to suit investors’ profiles, which describe investor characteristics, such as their age, tax status, investing experience, and financial goals.

Investors who feel their losses were caused by unsuitable investment recommendations may be able to recover their funds through FINRA arbitration.

Criminal Charge

On December 22, 2022, a criminal charge was filed against Aaron Rask. He completed pre-trial intervention and this charge was dismissed.

Background Information

Aaron Rask has passed the following exams:

  • General Securities Representative Examination – Series 7TO
  • Securities Industry Essentials Examination – SIE
  • Investment Company Products/Variable Contracts Representative Examination – Series 6
  • Uniform Securities Agent State Law Examination – Series 63

Aaron Rask is a registered broker in six states and the District of Columbia.

He has also worked for NYLIFE Securities (CRD#:5167).

Kurta Law Can Help

If you worked with Aaron Rask and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

 

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