Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jeffrey Perryman (Perryman), previously associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 5 customer complaints, one tax lien, alleging that Perryman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a final customer complaint on October 07, 2024.
Without admitting or denying the findings, Perryman consented to the sanction and to the entry of findings that he refused to provide information and documents requested by FINRA in connection with its investigation into his potential undisclosed OBAs, including charging fees to a customer for services that he failed to disclose to his member firm.
