Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Cox (Cox), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cox recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on June 10, 2024.
Customer alleges the Variable Universal Life Insurance policy he purchased in April 1997 was not clearly explained and as a result, the policy eventually lapsed.