Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based NYLife Securities broker Ken Nooshi has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nooshi (CRD# 2539099).
Ken Nooshi has spent 23 years in the securities industry and has been registered with NYLife Securities in Woodland Hills, California since 1995. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 18, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 14, 1995. He is a registered broker with four US states: California, New Jersey, Oregon, and Virginia.
According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.
In November 2018 a customer alleged Ken Nooshi, while employed at NYLife Securities, poorly represented a variable annuity contract. The customer is seeking unspecified damages in the pending complaint.
In November 2018 a customer alleged Ken Nooshi, while employed at NYLife Securities, did not fully explain the charges and fees connected to an investment in a variable annuity policy made in or around December 2017. The customer is seeking unspecified damages in the pending complaint.
In 2009 a customer alleged Ken Nooshi, while employed at NYLife Securities, misrepresented material facts regarding investments in a variable annuity and a whole life insurance policy. The complaint settled for more than $6,000.
If you or someone you know has a complaint regarding Ken Nooshi, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.