Charles Goetz Resigns from MML Investor Services During State Investigation

Charles Goetz (CRD #: 5587556), a broker formerly registered with MML Investors Services, is the subject of an Illinois state investigation, according to his BrokerCheck record, accessed on March 13, 2023. Read on to learn more about his alleged conduct as a broker.

Resignation from MML Investors Services

On February 13, 2023, Charles Goetz resigned from MML Investors Services after receiving notice of an investigation launched by the Illinois Securities Department.

Investigation by Illinois Securities Department

On February 1, 2023, Charles Goetz received notice that the State of Illinois Secretary of State Securities Department had launched an investigation related to a public records check and his alleged failure to disclose a federal tax lien and judgment.

FINRA Rule 2010

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

Civil Lien

On January 8, 2020, Charles Goetz was subject to a $2,759.12 civil lien.

Tax Liens

From 2016-2022, Charles Goetz was subject to $175,259.87 in tax liens.

Background Information

Charles Goetz has passed the following exams:

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

He previously worked for MML Investors Services (CRD#:10409) and Northwestern Mutual Investment Services (CRD#:2881).

Kurta Law Can Help

If you worked with Charles Goetz 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 and 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.