Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Pauliks (Pauliks), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pauliks recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 14, 2021.
Customer alleges when she purchased a variable annuity in October 2015, she was not informed that additional contributions would result in new surrender periods.