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Naydean Fisher Resigned from NYLife Securities

Aug 18, 2023 Employment

Naydean Fisher (CRD #: 6705584) has resigned from NYLife Securities. This is according to her BrokerCheck record, accessed on August 7, 2023. Keep reading if you have questions about her conduct as a broker. 

On June 9, 2023, NY Life Securities permitted Naydean Fisher to resign following allegations that she electronically signed a fixed annuity application without a customer’s authorization or consent. 

FINRA Rule 4511

FINRA Rule 4511 requires firms to keep accurate and up-to-date books and records. Electronically signing an application without content may violate this rule. 

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade. Signing applications without authorization also violates this rule. 

Background Information 

Naydean Fisher has passed the following exams: 

  • SIE – Securities Industry Essentials Examination 
  • Series 6 Investment Company Products / Variable Contracts Representative Examination 

Naydean Fisher has only ever registered NYLife Securities (CRD #: 5167). 

Kurta Law Can Help

If you worked with Naydean Fisher and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.

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