GURINDER BASSI

GURINDER BASSI is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 10885 NE 4TH STREET, SUITE 1400, BELLEVUE, WA, 98004.

GURINDER BASSI has worked at NYLIFE SECURITIES LLC since January 31, 2013

Disclosure History

GURINDER BASSI has 1 Disclosure Event(s).

Date: August 11, 2016
Category: Customer Dispute
Allegations: Customer alleges that the contractual surrender charges for a Variable Annuity he purchased in April 2014 were not disclosed.
Damage Amount Requested: $6,565.71
Settlement Amount: $6,565.71

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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