Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Cesar Casado (Casado), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one tax lien, alleging that Casado recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on February 13, 2025.
Without admitting or denying the findings, Casado consented to the sanction and to the entry of findings that he refused to produce information and documents requested by FINRA in connection with its investigation into allegations that he submitted life insurance applications with inaccurate information and discrepancies.
