Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Tippmann (Tippmann), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tippmann recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $3,860.59 on April 03, 2023.
The customer alleges she did not sign the policy illustration revision or policy delivery receipt for her whole life insurance policy that she purchased in or around February 2019.