Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Curtis Carey (Carey), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carey recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 19, 2020.
Customer alleges the recommendation to purchase a Variable Annuity in December 2014 was not in his best interest as this purchase was funded by a fixed life insurance policy loan, however the costs associated with the policy loan have outweighed any gains in the Variable Annuity policy.