Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mark Pernicano (Pernicano), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Pernicano 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 $38,633.25 on October 29, 2024.
The policyowner alleges that the RR did not inform her that she would incur surrender charges from her previous fixed annuity at another firm for the funding of her variable annuity purchased in February 2023 and she is disappointed in the annual yield of her fixed annuities.
