Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chantal Joseph (Joseph), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Joseph 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 $1,000.00 on August 14, 2023.
The policyowner alleges that on or about July 2022 she provided the RR with two blank money orders for $500 each with the funds to be applied to pay the premiums for her life insurance policy and that the RR cashed the money orders instead and did not pay her premiums.