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 |
|---|---|---|---|---|---|---|---|---|
| Andrew C Williams | 5329668 | 1 | 10/01/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Annise Billy Williams | 6624726 | 1 | 09/30/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Cory D Smith | 7300322 | 1 | 09/09/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John Emerison Six | 5412680 | 1 | 06/15/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| John S Coates | 1947467 | 3 | 05/25/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Stephen Thomas McCauley | 2103926 | 7 | 03/21/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| David Charles Hannon | 6302877 | 1 | 02/24/2000 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Joseph Francis Wald | 5773133 | 2 | 11/09/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Kenneth Dean Price | 5520853 | 2 | 10/22/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Chris Zorn | 5680122 | 5 | 10/07/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |