FINRA

Without admitting or denying the findings, Keller consented to the sanction and to the entry of findings that he failed to provide information and documents requested by FINRA in connection with its investigation into the circumstances giving rise to the Form U5s filed by his member firms. The findings stated that one of the firms permitted Keller to resign after it discovered that he paid a customer from his personal bank account in what appeared to be an attempt to avoid a customer complaint, engaged in an undisclosed and unapproved OBA, and did not provide factual responses when asked about his actions and activities. The second firm discharged Keller for failing to disclose a regulatory action with the state of Pennsylvania on his U4.

Acceptance, Waiver & Consent(AWC)

Bar (Permanent)

All capacities

Indefinite

3/19/2025

MML INVESTORS SERVICES, LLC

Discharged

Registered Representative failed to disclose a regulatory action with the state of Pennsylvania on his U-4.

Insurance Department of the Commonwealth of Pennsylvania

Registered Representative violated PA statutes Pennsylvania polices by misrepresenting the benefits, advantages, conditions or terms of insurance policy and making, issuing, publishing or circulating untrue, deceptive or misleading advertisement, announcement or statement.

Consent

Cease and Desist

Civil and Administrative Penalty(ies)/Fine(s)

$1,000.00

Customer stated that he is disappointed in the performance of his variable life insurance policy and believes the policy is a "scam" and a "rip off".

$5,410.00

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Permitted to Resign

Registered Representative was permitted to resign after the Firm discovered that he paid a customer from his personal bank account in what appeared to be an attempt to avoid a customer complaint, an offense for which he was previously reprimanded. The Registered Representative also engaged in an undisclosed and unapproved Outside Business Activity. Lastly, the Registered Representative did not provide factual responses when asked about his actions and activities.