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 |
|---|---|---|---|---|---|---|---|---|
| Bradley Dufrane | 2656156 | 3 | 06/17/2014 | Customer Dispute | Denied | $20,428.70 | $0.00 | See FINRA Report |
| Kevin Ronald Johnson | 1139489 | 4 | 06/12/2014 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Joseph Hong Doo Lee | 1178138 | 4 | 05/23/2014 | Customer Dispute | Denied | $15,793.40 | $0.00 | See FINRA Report |
| Frederick Wayne Lancaster | 1306092 | 1 | 05/20/2014 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Oscar Anthony Anzaldo | 1255916 | 1 | 05/01/2014 | Customer Dispute | Denied | $7,115.03 | $0.00 | See FINRA Report |
| David Neal Yonks | 1406383 | 1 | 04/18/2014 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Harris Eliot Kagan | 1439997 | 1 | 04/14/2014 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |
| Craig Aloysius Lafferty | 1388500 | 6 | 03/20/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |
| Angelantonio Freda | 4896679 | 2 | 03/18/2014 | Customer Dispute | Settled | $168,000.00 | $0.00 | See FINRA Report |
| Bruce Edward Dowell | 2282070 | 7 | 03/17/2014 | Customer Dispute | Closed-No Action | $0.00 | $0.00 | See FINRA Report |