Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Shawn Fischer (Fischer), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Fischer recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on August 21, 2021.
Customer alleges that documentation used as part of his 1035 exchange from TransAmerica to fund his immediate annuity in July 2021, contain initials that are not his.