Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Craig Lafferty (Lafferty), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Lafferty recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 01, 2021.
Customer alleges the non-registered Fixed Annuity that was purchased in December 2018 included a transfer of funds from MetLife Securities that was conducted without his approval. The transfer document from MetLife to New York Life contains an electronic signature that the customer further alleges is not his signature and was not authorized by him.