Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Eric Takao (Takao), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Takao 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 $15,420.23 on April 07, 2025.
The customer alleges that the allocation of her funds within her variable annuity purchased in February 2025 was not in line with her wishes, and that she was misled on the amount she would receive if she exercised the “free-look” provision of her contact.