Jeffrey Mayer Incurs Second Tax Lien in 2025

Jeffrey Mayer (CRD #: 4036612), a broker registered with MML Investors Services, has incurred a tax lien, according to his BrokerCheck record, accessed on May 31, 2025. Keep reading for more information about his alleged conduct as a broker.

Tax Liens

On February 18 and 20, 2025, Jeffrey Mayer incurred tax liens totaling $23,811.68.

On June 28, 2022, he incurred a tax lien of $40,750.08.

New Hampshire Investigation

On September 30, 2015, the New Hampshire Insurance Department conducted an investigation into Jeffrey Mayer which allegedly concerned a New Hampshire district court judgment and an IRS tax lien.

Termination from MML Investors Services

On July 17, 2015, Jeffrey Mayer was fired from MML Investors Services in connection with his suspension by FINRA.

FINRA Suspension

On June 30, 2015, Jeffrey Mayer consented to the entry of findings that he allegedly failed to amend his Form U4 (Uniform Application for Securities Industry Registration or Transfer) in a timely manner.

According to a Letter of Acceptance, Waiver & Consent (AWC), a New Hampshire district court entered a judgment against Jeffrey Mayer in July 2010 that required him to pay $3,500 to a creditor. He allegedly failed to disclose this judgment on his Form U4 until August 2011.

He allegedly also received notice from the IRS in March 2012 of a tax lien against him for $29,610 in taxes he owed. He allegedly failed to report this on his Form U4 until December 2012, after being questioned by his firm, MML Investors Services.

The AWC concluded that these allegations constituted violations of FINRA Rules 1122 and 2010 and Article V, Section 2 of the FINRA By-Laws.

FINRA Rule 1122

FINRA Rule 1122 requires brokers to keep their membership and registration documentation up-to-date and to correct any inaccuracies or misleading information in a timely manner.

FINRA Rule 2010

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

Article V, Section 2 of the FINRA By-Laws

Article V, Section 2(c) of FINRA’s By-Laws requires brokers to keep their application for registration up-to-date and to amend it within 30 days of learning the facts requiring an amendment.

Sanctions

Jeffrey Mayer consented to the following sanctions:

• One-month suspension from associating with FINRA members
• $5,000 fine

His suspension ran from July 20 to August 19, 2015. You can read a copy of the AWC here.

Background Information

Jeffrey Mayer has passed the following exams:

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

Jeffrey Mayer is a registered broker in six states.

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

Kurta Law Can Help

If you worked with Jeffrey Mayer 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.