Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bruce Dowell (Dowell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Dowell recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 15, 2021.
Customer alleges that explanations of fees and variable annuities purchased from October 2016 to February 2021 were not forthcoming.