Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Cannady (Cannady), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cannady recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 06, 2020.
Customer alleges the Variable Annuity policy she purchased in June 2018 contains a multitude of restrictions that were not clearly explained to her at the time of sale.