Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark O’leary (O’leary), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that O’leary recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $24,140.51 on October 06, 2021.
Claimant alleges that she was misled into purchasing an unsuitable investment in November 2017 and seeks the return of surrender charges, fees and market losses plus punitive damages and attorney fees.