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 |
|---|---|---|---|---|---|---|---|---|
| Linwood Joseph Broussard | 1203093 | 2 | 01/18/2019 | Customer Dispute | Denied | $4,800.00 | $0.00 | See FINRA Report |
| Armondo James Brennan | 2575541 | 1 | 01/07/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rhanda Melissa Zavala | 5916106 | 1 | 01/07/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Thomas Lang | 3003566 | 1 | 01/03/2019 | Customer Dispute | Denied | $136,000.00 | $0.00 | See FINRA Report |
| Thomas Gage Arnold | 6247762 | 1 | 01/02/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Blaine Kristopher Johnson | 5587927 | 2 | 12/31/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 12/28/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| James Craig Smits | 2148298 | 1 | 12/17/2018 | Customer Dispute | Settled | $18,121.80 | $0.00 | See FINRA Report |
| David Paul Rudi Lenser | 5277584 | 1 | 12/07/2018 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Mary Linderman Stockton | 2896729 | 2 | 12/05/2018 | Customer Dispute | Withdrawn | $0.00 | $0.00 | See FINRA Report |