Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kitty Stough (Stough), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Stough 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, 2024.
The Customer alleges he was misled regarding the cost of a rider when he purchased his variable annuity in February 2020.