Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Vauble (Vauble), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Vauble recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint on January 27, 2025.
Policyowners allege that the RR recommended they purchase two fixed life insurance policies in October 2021 and told them the returns on investments from their existing Variable Annuities would assist to pay for the premiums.
