Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Herzing (Herzing), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Herzing recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 02, 2022.
Customer alleges that she was promised the funds from the sale of her stock would be secure and not at risk. Customer has requested the reversal of a variable annuity purchased on 12/30/2021.