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Adam Tafoya Formerly With First Heartland Capital, Inc. And NYLife Securities LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Adam Tafoya formerly with First Heartland Capital, Inc.?

Adam Tafoya (CRD #6226541) who was formerly registered with First Heartland Capital, Inc. and located in Albuquerque, New Mexico is a subject of one of our many securities industry sales practice abuse investigations.  Prior to First Heartland Capital, Inc., Adam Tafoya was associated with NYLife Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Adam Tafoya Customer Complaint

Adam Tafoya has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were about the suitability of a variable annuity policy recommended by Adam Tafoya which was settledAdam Tafoya’s customer complaint was settled in favor of the investors.

Adam Tafoya Red Flags & Your Rights As An Investor

Of course, Adam Tafoya did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Adam Tafoya at First Heartland Capital, Inc. and NYLife Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Adam Tafoya has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Heartland Capital, Inc. and NYLife Securities LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim To Recover Your Investment Losses At First Heartland Capital, Inc. Due To Adam Tafoya

If you have questions about First Heartland Capital, Inc., NYLife Securities LLC, and/or Adam Tafoya and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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