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 |
|---|---|---|---|---|---|---|---|---|
| Tatiana A Lott | 5330493 | 1 | 04/28/2017 | Customer Dispute | Settled | $5,131.00 | $0.00 | See FINRA Report |
| Stephen Thomas McCauley | 2103926 | 7 | 04/13/2017 | Customer Dispute | Settled | $35,000.00 | $0.00 | See FINRA Report |
| Chad W Burtrum | 2613555 | 2 | 03/23/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Sarah Emily Zorio | 5859083 | 1 | 03/14/2017 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| William Gerald Ferrara | 2729111 | 4 | 03/06/2017 | Customer Dispute | Settled | $56,930.90 | $0.00 | See FINRA Report |
| Joseph D Allen | 4462072 | 1 | 03/06/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Casimiro Maurice Santos | 5207276 | 2 | 03/02/2017 | Customer Dispute | Withdrawn | $18,227.20 | $0.00 | See FINRA Report |
| Stephen Mark Patton | 5135020 | 1 | 01/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Michael Jones | 5148567 | 1 | 01/03/2017 | Customer Dispute | Settled | $5,279.85 | $0.00 | See FINRA Report |
| Marla Jane Norton | 4255115 | 1 | 12/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |