Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Adam Peacock (Peacock), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Peacock recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 25, 2022.
Customer alleges that his specific instructions on July 18, 2021 to transfer the allocation of his Variable Annuities to conservative investments were not completed; resulting in market losses.