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 |
|---|---|---|---|---|---|---|---|---|
| William John Roach | 1102421 | 1 | 03/14/2022 | Customer Dispute | Denied | $159,311.00 | $0.00 | See FINRA Report |
| Richard Charles Maus | 4810595 | 1 | 02/17/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Ammie Mareez Tolentino de los Reyes | 7302682 | 1 | 02/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Antonio Hernandez | 2673883 | 1 | 02/07/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| William Patrick Hagerty | 2593690 | 1 | 01/28/2022 | Customer Dispute | Denied | $14,877.50 | $0.00 | See FINRA Report |
| Jolene Sue Starr | 1212445 | 4 | 01/14/2022 | Customer Dispute | Denied | $96,000.00 | $0.00 | See FINRA Report |
| Stephen Lemoyne Frantz | 1568238 | 1 | 01/04/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Demetrios Panagiotis Theodoropoulos | 2862909 | 2 | 12/30/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Steven Ronald Morgan | 2540641 | 2 | 12/28/2021 | Customer Dispute | Denied | $38,658.10 | $0.00 | See FINRA Report |
| Ted Phung Ngo | 2905920 | 1 | 12/02/2021 | Customer Dispute | Settled | $15,853.70 | $0.00 | See FINRA Report |