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 |
|---|---|---|---|---|---|---|---|---|
| Charles Wesley Morris | 4132881 | 2 | 02/03/2009 | Customer Dispute | Closed-No Action | $27,103.40 | $0.00 | See FINRA Report |
| Norman Janis | 5137100 | 2 | 01/23/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael J O Brien | 1660069 | 4 | 01/20/2009 | Customer Dispute | Settled | $18,635.00 | $0.00 | See FINRA Report |
| Phillip Ray Whitehead | 2513482 | 1 | 01/12/2009 | Customer Dispute | Withdrawn | $8,961.00 | $0.00 | See FINRA Report |
| Samuel Amando Jaramillo | 2197976 | 2 | 12/23/2008 | Customer Dispute | Denied | $12,555.10 | $0.00 | See FINRA Report |
| John Junius Chaisson | 3145799 | 4 | 12/18/2008 | Customer Dispute | Settled | $12,889.70 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 12/17/2008 | Customer Dispute | Denied | $63,115.00 | $0.00 | See FINRA Report |
| Alison Joy Flaum | 2951500 | 3 | 12/15/2008 | Customer Dispute | Denied | $37,325.30 | $0.00 | See FINRA Report |
| Dale Eugene Sales | 2966905 | 2 | 12/08/2008 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Charles John Blasgen | 1123904 | 1 | 11/24/2008 | Customer Dispute | Denied | $17,245.20 | $0.00 | See FINRA Report |