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 |
|---|---|---|---|---|---|---|---|---|
| William Andrew Doran | 5783967 | 2 | 01/11/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 01/11/2016 | Customer Dispute | Settled | $8,793.80 | $0.00 | See FINRA Report |
| Robert Allen Hartman | 1191913 | 1 | 01/08/2016 | Customer Dispute | Settled | $6,907.00 | $0.00 | See FINRA Report |
| Kevin Ronald Johnson | 1139489 | 4 | 12/02/2015 | Customer Dispute | Settled | $70,000.00 | $0.00 | See FINRA Report |
| Michael Thomas Rossman | 5444535 | 1 | 12/02/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Ralph Brekan | 4573456 | 2 | 11/30/2015 | Customer Dispute | Denied | $6,024.60 | $0.00 | See FINRA Report |
| Samuel Louis Hebert | 2679181 | 7 | 11/12/2015 | Customer Dispute | Settled | $43,000.00 | $0.00 | See FINRA Report |
| Robert George Karalius | 1952078 | 1 | 10/27/2015 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| Rebecca Ann Gorrell | 5288880 | 1 | 10/07/2015 | Customer Dispute | Settled | $149,925.00 | $0.00 | See FINRA Report |
| Jade Austin Thelin | 5645685 | 2 | 09/09/2015 | Customer Dispute | Denied | $13,527.70 | $0.00 | See FINRA Report |