Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carl Ishikawa (Ishikawa), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ishikawa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on June 28, 2021.
Customer alleges the registered product he purchased in January 2015 did not meet his retirement needs at the time of sale and the product contains high fees and fewer investment options that would not allow him to invest his funds without a penalty.