{"id":6333,"date":"2018-08-08T15:25:06","date_gmt":"2018-08-08T19:25:06","guid":{"rendered":"https:\/\/www.silverlaw.com\/blog\/?p=6333"},"modified":"2018-08-08T15:25:06","modified_gmt":"2018-08-08T19:25:06","slug":"oscar-francis","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/oscar-francis\/","title":{"rendered":"Oscar Francis"},"content":{"rendered":"

Oscar Francis (CRD #5094722) is a former registered broker and investment advisor last employed with MML Investors Services, LLC (CRD #10409) of Fort Lauderdale, FL. He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. (CRD #705) of Boca Raton, FL. No current employment information is available. He began working in the industry in 2006.<\/p>\n

\"Former-New-York-Life-Broker-Jonathan-Williams-Barred-by-FINRA-as-a-Result-of-Outside-Business-Activities-300x200\"Francis is the subject of two investigations stemming from the termination of his employment at MML. The company discharged him on 05\/31\/2017 \u201cin connection with an investigation into an undisclosed outside business activity, potential selling away and an unauthorized non-securities life insurance transaction.\u201d<\/em>\u00a0 The first investigation was initiated on 04\/21\/2017 by the US Department of Justice, for allegations of selling away<\/a> and outside business activities.<\/p>\n

The second investigation was initiated on 10\/23\/2017 by the Department of Financial Services, State of Florida, regarding Francis\u2019 termination for cause. No additional information is available.<\/p>\n

Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Oscar Francis (CRD #5094722) is a former registered broker and investment advisor last employed with MML Investors Services, LLC (CRD #10409) of Fort Lauderdale, FL. He was previously employed by AXA Advisors, LLC (CRD #6627), also of Fort Lauderdale, and Raymond James & Associates, Inc. (CRD #705) of Boca Raton, FL. No current employment information […]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[584,580],"tags":[667,1020,1021,290],"class_list":["post-6333","post","type-post","status-publish","format-standard","hentry","category-selling-away","category-stockbroker-misconduct","tag-mml-investors-services","tag-oscar-francis","tag-scott-silver-mml-investors-services","tag-securities-arbitration"],"yoast_head":"\nOscar Francis — Securities Arbitration Lawyers Blog — August 8, 2018<\/title>\n<meta name=\"description\" content=\"Oscar Francis (CRD #5094722) is a former registered broker and investment advisor last employed with MML Investors Services, LLC (CRD #10409) of Fort — August 8, 2018\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" 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