Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lacey Neuman (Neuman), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Neuman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on February 06, 2024.
The Customer alleges the recommendation to replace his surrender charge-free variable annuity with two (2) fixed annuities in May 2023 resulted in a new surrender charge schedule and new fees. The customer has requested the rescission of the fixed annuities and the restoration of the variable annuity.