Tagged with "nylife securities"

Broker Who Sold Ponzi Scheme Investments Barred by FINRA

Posted on February 10th, 2020 at 12:42 PM
Broker Who Sold Ponzi Scheme Investments Barred by FINRA

Kari Bracy, a broker who worked for NYLife Securities from 2009 until 2019, has agreed to a bar from the securities industry.  On January 16, 2020, Bracy signed a letter of Acceptance, Waiver and Consent (“AWC”), agreeing to be barred from the securities industry for failing to appear for an on-the-record interview with FINRA. 

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