Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Crocker (Crocker), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Crocker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 28, 2023.
Customer alleges that in March 2021, she was misled into purchasing a variable annuity and a variable universal life policy which are inappropriate for her needs.