Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ceondre Colvin (Colvin), previously associated with Nylife Securities LLC, has at least 3 disclosable events. These events include 2 customer complaints, one tax lien, alleging that Colvin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on November 27, 2024.
Without admitting or denying the findings, Colvin consented to the sanction and to the entry of findings that he refused to provide documents and information and to appear for on-the-record testimony requested by FINRA in connection to its investigation of a customer complaint that had been filed against him.
