Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Tran (Tran), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tran recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $14,790.00 on November 21, 2024.
The policyowner alleges that the signatures on three loan checks taken from her New York Life Custom Whole Life Insurance policy in April, May, and June 2023, respectively, were not hers. Additionally, an address change was initiated without the policyowner’s consent. The Company offered to reinstate the whole life insurance policy and reverse the loan transactions.
