FINRA Bars Ex-New York Life, Pru Rep Over Forged Annuity Forms
August 17, 2021 by Jeff Berman
The Financial Industry Regulatory Authority has barred a former NYLIFE Securities and Pruco Securities rep who allegedly forged annuity applications and then provided “false and misleading testimony to FINRA staff” while it was investigating her termination from the New York Life division, according to FINRA.
NYLIFE Securities and Pruco Securities are units of New York Life Insurance Co. and Prudential Financial, respectively.
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