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Dawn Clark Allegedly Forged a Client Signature

Securities Lawyer Jonathan Kurta
By: Jonathan Kurta Author
October 5, 2025 at 6:20pm

Dawn Clark (CRD #: 7481162) has been fired by MML Investors. This is according to her BrokerCheck record, accessed on October 5, 2025. Keep reading if you have questions regarding her alleged conduct. 

Employment Separation After Allegations 

On September 10, 2025, MML Investors fired Dawn Clark following allegations that she forged a client’s signature on an annuity application while at her prior firm. 

Investor Dispute 

On August 28, 2025, an investor alleged that Dawn Clark opened a Roth IRA without their consent. 

High Standards of Commercial Honor

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Forging client signatures violates this rule. 

Background Information 

Dawn Clark has passed the following exams: 

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

She has registered with the following firms: 

  • MML Investors Services (CRD #: 10409) 
  • MWA Financial Services (CRD #: 112630) 

Kurta Law Can Help 

If you have worked with Dawn Clark and you have concerns about your investments, do not hesitate to contact us at 877-600-0098 or 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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