Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Ross (Ross), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ross recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on December 30, 2020.
Customer alleges he purchased a Variable Universal Life Insurance policy in December 2015 with the understanding that he would be covered for life without additional funding and there would be a guaranteed payout to his beneficiaries.