Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heather Cagle (Cagle), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cagle recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on November 10, 2021.
Customer alleges that she and her late husband did not sign an electronic application for an employee whole life insurance policy in April 2021