Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Purdy (Purdy), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Purdy recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 07, 2020.
Customers alleged that they were not informed of the fees associated with the purchase of variable annuities in July and November 2014.