Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Roderick Carr (Carr), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Carr recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 13, 2022.
Customer alleges the two separate annuity policies he purchased in May 2022 were issued as variable annuity policies, however he had originally understood these to be issued as fixed rate policies with a specific interest rate.