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 |
|---|---|---|---|---|---|---|---|---|
| Heather M Cagle | 5761130 | 1 | 11/10/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 11/04/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael G Fisher | 4596313 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Mark Xavier O'Leary | 6774683 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Edward John Kovac | 5034955 | 1 | 09/27/2021 | Customer Dispute | Closed-No Action | $16,531.20 | $0.00 | See FINRA Report |
| Rakesh Raj Bansal | 2169184 | 3 | 09/02/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Dane Miller | 1177133 | 3 | 08/24/2021 | Customer Dispute | Settled | $19,641.50 | $0.00 | See FINRA Report |
| Clinton Keiso Sunada | 3016230 | 2 | 08/23/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Shawn Robert Fischer | 1959808 | 4 | 08/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |