Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Prakash Verma (Verma), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Verma recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 30, 2024.
Customer alleged that he did not apply for or authorize two Term Life insurance policies issued in December 2023.