Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ronald Thompson (Thompson), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Thompson recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint on January 24, 2025.
The Customers alleged that they were misled when they purchased variable universal life insurance policies in October 2015 and request the surrender of the policies without charges.
