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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Bing Yin | 5835533 | 1 | 12/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Nolan Pendleton | 5350768 | 2 | 12/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Betty Lou Moglen | 1246956 | 1 | 12/01/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Young Sam Park | 6251694 | 1 | 11/16/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kristopher D Vanesko | 5629128 | 2 | 11/07/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Stephen Brian Vanesko | 6386519 | 1 | 11/07/2023 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Michael Thomas Damon | 4501030 | 4 | 10/24/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Rakesh Raj Bansal | 2169184 | 3 | 10/20/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Robert Glenn Westberg | 1879019 | 2 | 10/19/2023 | Customer Dispute | Denied | $10,000.00 | $0.00 | See FINRA Report |
| James Warren Littlefield | 1904208 | 1 | 10/09/2023 | Customer Dispute | Closed-No Action | $23,511.00 | $0.00 | See FINRA Report |