Securities Lawyers Blog
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.