Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Haye (Haye), previously associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 3 customer complaints, alleging that Haye recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 06, 2021.
The policyowner alleges that when she transferred her $29,000 IRA in March of 2017 for the benefit of an account with an IPR rider (14 days prior to her 72nd birthday), the RR did not disclose that exercising the IPR would lock funds in until 15 years in the future to almost age 87. She also claims that the loss of money to transfer out of this policy was not disclosed and requests assistance to resolve this matter.