Records filed with a US bankruptcy court show that at least one former client of Newbridge Financial Services advisor Nick...
Read MoreMelville MML Advisor Neil Nissen: Forgery Complaint
A recent investor complaint against Melville, New York financial advisor Neil Nissen (CRD# 3088956) alleges six-figure damages stemming from alleged forgeries and misrepresentations of material facts. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with MML Investors Services.
Mr. Nissen’s BrokerCheck report discloses two investor complaints. The most recent, filed in September 2022, alleges that as a representative of MML Investors Services, he misrepresented material facts related to insurance policies and forged the customers’ names on documents. The pending complaint alleges damages of $800,000.
An earlier investor complaint, filed in 2003, alleged that as a representative of NYLife Securities, he misled and took advantage of the customer in connection with a variable life insurance policy. The complaint alleged damages of $13,000 and was denied by the firm.
According to the Financial Industry Regulatory Authority, Neil Nissen holds 23 years of securities industry experience. Based in Melville, New York, he has been a broker and an investment advisor with MML Investors Services since 2006 and 2021, respectively. His past registrations include NYLife Securities (New York, New York; 2004-2006), MetLife Securities (Springfield, Massachusetts; 1999-2004), and Metropolitan Life Insurance Company (New York, New York; 1999-2004). His credentials include the passage of three securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed as a broker and an investment advisor in New York. (Information current as of October 5, 2022.)
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