Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Angela Spears (Spears), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Spears recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $13,588.54 on April 12, 2023.
The customer alleged the terms of the fixed annuity were misrepresented when she purchased it in or around January 2021 with proceeds from a rollover 401k held at Fidelity Investments.