Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Taylor (Taylor), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Taylor recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 22, 2023.
The Customer alleges they received inaccurate information related to the charges associated with their mutual fund account, which resulted in unanticipated withdrawal charges.