Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Emy Pham (Pham), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pham recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 08, 2022.
Customer alleges that he does not fully understand the benefit of his existing policies including two separate Variable Universal life insurance policies he purchased in April 2020 and December 2020, respectively, as well as a Variable Annuity purchased in September 2020.