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 |
|---|---|---|---|---|---|---|---|---|
| Gary Allen Erickson | 1840712 | 2 | 11/30/2007 | Customer Dispute | Denied | $8,215.80 | $0.00 | See FINRA Report |
| Steven T Kaplan | 4982793 | 1 | 11/16/2007 | Customer Dispute | Settled | $20,807.30 | $0.00 | See FINRA Report |
| Bruce Hal Feldman | 2872417 | 3 | 10/22/2007 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Diane Hack Gould | 828331 | 2 | 09/20/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rebecca Ann Hunter | 4371194 | 1 | 09/10/2007 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| Joseph John Fimmano | 2337245 | 1 | 08/28/2007 | Customer Dispute | Denied | $7,282.00 | $0.00 | See FINRA Report |
| John Junius Chaisson | 3145799 | 4 | 08/28/2007 | Customer Dispute | Settled | $11,246.40 | $0.00 | See FINRA Report |
| Ryan Joseph Ferguson | 3230680 | 2 | 07/17/2007 | Customer Dispute | Settled | $9,439.00 | $0.00 | See FINRA Report |
| William Gerald Ferrara | 2729111 | 4 | 06/27/2007 | Customer Dispute | Denied | $28,000.00 | $0.00 | See FINRA Report |
| Joseph Ralph Brekan | 4573456 | 2 | 06/26/2007 | Customer Dispute | Withdrawn | $21,000.00 | $0.00 | See FINRA Report |