Articles Tagged with Nylife Securities LLC

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Louis No (No), previously associated with Nylife Securities LLC, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that No recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on June 27, 2023.

Respondent No failed to respond to FINRA requests for information.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marc Rosenthal (Rosenthal), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Rosenthal 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 $9,500.00 on February 10, 2014.

CUSTOMER ALLEGES THAT HE WAS NOT INFORMED OF THE 10% EARLY WITHDRAWAL PENALTY ASSOCIATED WITH WITHDRAWAL OF FUNDS FROM HIS VARIABLE ANNUITY POLICY IN MARCH AND JULY 2013, WHICH HAS RESULTED IN A TAX LIABILITY.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jesus Vega (Vega), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vega 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 $27,500.00 on December 13, 2023.

The policyowner alleges that she purchased a variable universal life insurance policy in December 2022 which is unsuitable since the RR incorrectly advised her that her monthly premiums would be tax deductible. The customer requested a full refund of all premiums paid and that her original term life insurance policy be restored.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ridge Goodwin (Goodwin), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Goodwin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 10, 2024.

Customer alleges the Variable Universal Life Insurance policy he purchased in December 2021 was originally understood to be an investment that would provide growth rather than an insurance policy with a high premium, Based on his current understanding, customer now requests a refund of premium.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeremy Meger (Meger), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Meger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on January 31, 2024.

Customer alleges the three (3) separate Variable Annuity policies she purchased beginning in January 2019 – March 2021, were not suitable recommendations and requests a waiver of surrender charges.

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Farris (Farris), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Farris 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 $190,400.00 on February 07, 2024.

The customers allege they were misled and inadequately educated when they purchased a variable universal life insurance policy in October 2012. The customers have requested reimbursement of all premiums paid since the inception of the policy.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Howell (Howell), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Howell 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 charges schedule and new fees. The customer has requested the rescission of the fixed annuities and      the restoration of the variable annuity.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodney Ferguson (Ferguson), previously associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Ferguson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on February 09, 2024.

Customer alleges that the Variable Universal Life Insurance policy she purchased in August 2022 was not adequately explained as it is not sustainable with regards to her current financial abilities.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chris Benson (Benson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Benson 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, 2024.

The Customer alleges he was misled when he purchased a variable universal life policy in December 2022.

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