Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Rocco (Rocco), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rocco recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 02, 2025.
The policy owner alleges he did not sign or authorize the policy delivery receipt or amendment for a fixed life insurance policy on February 1, 2007.