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 |
|---|---|---|---|---|---|---|---|---|
| David Francis Keefe | 2355041 | 3 | 12/04/2006 | Customer Dispute | Settled | $6,887.58 | $0.00 | See FINRA Report |
| Joseph Hong Doo Lee | 1178138 | 4 | 11/20/2006 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| Donald Joseph Mellor | 859159 | 1 | 11/16/2006 | Customer Dispute | Denied | $12,000.00 | $0.00 | See FINRA Report |
| Stephen Andrew Somogyi | 1199184 | 3 | 11/08/2006 | Customer Dispute | Closed-No Action | $7,781.06 | $0.00 | See FINRA Report |
| Ajay N Parikh | 1415416 | 3 | 10/26/2006 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bradley Dufrane | 2656156 | 3 | 10/25/2006 | Customer Dispute | Denied | $10,800.00 | $0.00 | See FINRA Report |
| Peter Pakkeung Chan | 1969398 | 3 | 10/24/2006 | Customer Dispute | Denied | $5,829.20 | $0.00 | See FINRA Report |
| Yukyi Susan Lai | 2836646 | 3 | 10/24/2006 | Customer Dispute | Denied | $8,296.10 | $0.00 | See FINRA Report |
| Hope Patricia Anderson | 1898339 | 2 | 10/23/2006 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Kyle Edward Herrington | 1334767 | 1 | 09/25/2006 | Customer Dispute | Denied | $7,754.00 | $0.00 | See FINRA Report |