Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Ferrara (Ferrara), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Ferrara recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on March 29, 2022.
Customer alleges that the signature contained on some of his account documentation on file for his policy is not his signature. The policy in question is a Variable Annuity policy that was purchased by the customer in February 2015.