Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dana Zimmerman (Zimmerman), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Zimmerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on September 28, 2023.
Customer alleges the Variable Annuities purchased between October 2021- December 2021 along with the transfer of ETF equities negatively impacted the customer and did not consider her needs in retirement.