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Benjamin Howarth is Involved in an Annuity Dispute

Benjamin Howarth (CRD #: 4547458), a broker registered with MML Investors Services, is the subject of an investor dispute. This disclosure appears on his BrokerCheck record, accessed on April 22, 2024. Keep reading if you have questions regarding his alleged conduct. 

Investor Allegations 

Benjamin Howarth is the subject of an investor dispute alleging he misled an investor into investing in two annuities. The investor further alleged that these annuities lost thousands of dollars in surrender charges.

Misrepresentation 

FINRA Rule 2020 forbids the use of deceptive, manipulative, and otherwise fraudulent methods to influence the purchase and sale of securities. The misrepresentation or omission of material facts violates this rule.

High Standards of Commercial Honor 

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Violations of FINRA Rule 2020 also violate FINRA Rule 2010. 

Background Information 

Benjamin Howarth has passed the following exams:

  • Series 65 Uniform Investment Adviser Law Examination 
  • Series 63 Uniform Securities Agent State Law Examination 
  • SIE – Securities Industry Essentials Examination 
  • Series 7 General Securities Representative Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

He is a registered broker in 40 states and D.C. He is a registered investment adviser in Connecticut, Rhode Island, and Texas. 

During his 21 years of experience, Benjamin Howarth has registered with the following firms: 

  • MML Investors Services (CRD #: 10409) 
  • MSI Financial Services (CRD #: 14251) 
  • Metropolitan Life Insurance Company (CRD #: 4095) 

Kurta Law Can Help 

If you have worked with Benjamin Howarth and have concerns about your investments, do not hesitate to contact us at 877-600-0098 or email info@kurtalawfirm.com for a free consultation. 

For nearly 20 years, Kurta Law has advocated for investors 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. Do not let securities fraud go unchecked. Start your recovery process today.

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