Our Staff has compiled our research into a database of FINRA Broker Disclosures for NYLife Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Nicholas Saraceno | 7294872 | 2 | 06/11/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Timothy Wayne Thomas | 3125492 | 2 | 05/07/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Oscar Facundo | 7451403 | 1 | 04/14/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Janine Marie Ruland | 4969604 | 3 | 03/18/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Aaron Sanchez | 7514148 | 2 | 02/03/2002 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Deuk Kyoon Yoo | 6387740 | 1 | 11/19/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Samone Roshone Overshown | 5520921 | 1 | 10/05/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Gardner Higgins | 2304411 | 1 | 09/22/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Wayne T McCabe | 5862926 | 4 | 09/15/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Tobin John Mergenthaler | 4795660 | 1 | 06/24/2001 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |