Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ralph Thompson (Thompson), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on October 09, 2023.
The customer alleges that he was misled when he purchased a Variable Universal Life Insurance policy in October 2022 and would like to exit the policy without incurring penalties.