Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Harry Schaffer (Schaffer), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Schaffer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on July 22, 2025.
Customer alleged the Income Annuity she purchased in September 2024 using funds from a previous investment was not based on sound financial judgment and resulted in a tax consequence.