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 |
|---|---|---|---|---|---|---|---|---|
| Loann Christine Thompson | 3079752 | 2 | 03/23/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kerry Anne Matthews | 6549120 | 1 | 03/22/2021 | Customer Dispute | Denied | $45,850.00 | $0.00 | See FINRA Report |
| Meghan MacKay Green | 6431431 | 1 | 03/22/2021 | Customer Dispute | Denied | $45,850.00 | $0.00 | See FINRA Report |
| Robert David York | 6786020 | 3 | 03/08/2021 | Customer Dispute | Denied | $9,122.21 | $0.00 | See FINRA Report |
| Craig Aloysius Lafferty | 1388500 | 6 | 03/01/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Lawrence Gerstner | 3258151 | 1 | 02/26/2021 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Charles Wesley Morris | 4132881 | 2 | 01/19/2021 | Customer Dispute | Settled | $7,756.34 | $0.00 | See FINRA Report |
| Paul Nicholas Matlock | 1113273 | 1 | 01/15/2021 | Customer Dispute | Denied | $6,673.21 | $0.00 | See FINRA Report |
| Carl H Ishikawa | 2004793 | 4 | 01/12/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Anthony Cancela | 2398245 | 4 | 12/03/2020 | Customer Dispute | Settled | $9,912.00 | $0.00 | See FINRA Report |