Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Edward Obrien (Obrien), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Obrien 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 $9,500.00 on June 09, 2021.
Customer alleges the Registered Representative did not inform him of the front-end sales charge associated with the A share mutual fund he purchased on or around January 5, 2021.