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 |
|---|---|---|---|---|---|---|---|---|
| Pascal Dung Gia Nguyen | 2131938 | 6 | 05/16/2022 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Farhod Sultonov | 5562332 | 1 | 04/27/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Prasanna L Bhatia | 5285877 | 1 | 04/27/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Terrence Graff | 5400355 | 2 | 04/25/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Brendon W Elliot | 5695797 | 1 | 04/20/2022 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Ralph Phillip Owen | 1110394 | 2 | 04/18/2022 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Brian David Clough | 5773103 | 1 | 04/13/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Gerald Ferrara | 2729111 | 4 | 03/29/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert Devito | 6535671 | 1 | 03/16/2022 | Customer Dispute | Pending | $9,798.59 | $0.00 | See FINRA Report |
| Eric Kazuyoshi Takao | 804445 | 2 | 03/15/2022 | Customer Dispute | Settled | $60,000.00 | $0.00 | See FINRA Report |