Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sophie Cook (Cook), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cook recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on July 29, 2022.
Customer alleges the Variable Universal Life insurance policy he purchased in August 2021 was originally understood to be an investment growth account that would allow for withdrawals without any fees.