Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Seth Bassin (Bassin), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Bassin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on May 23, 2022.
Customer alleges that she was not informed of the tax conseqences resulting from the July 2021 transfer of the proceeds from her Variable Annuity at another Firm to a managed account with Eagle Strategies.