Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker So Young Yom (Yom), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Yom recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on September 22, 2025.
The policyowner alleges that the RR did not fully explain the variable universal life insurance policies sold to her parents in December 2013, and that the ownership of the policies was transferred to her without her knowledge or consent. The policyowner has requested a refund of premiums paid.