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 |
|---|---|---|---|---|---|---|---|---|
| Bruce Hal Feldman | 2872417 | 3 | 10/05/2004 | Customer Dispute | Settled | $12,716.00 | $0.00 | See FINRA Report |
| Dennis Deane Carlton | 1111968 | 1 | 08/30/2004 | Customer Dispute | Settled | $1,973.09 | $0.00 | See FINRA Report |
| Joseph Ronald Goodwin | 1531902 | 2 | 08/23/2004 | Customer Dispute | Denied | $93,713.80 | $0.00 | See FINRA Report |
| Kenneth Richard Bakula | 1016897 | 3 | 08/18/2004 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jenny Ong Kho | 1156022 | 3 | 08/05/2004 | Customer Dispute | Denied | $251,326.00 | $0.00 | See FINRA Report |
| Helen Ong Kho | 1548110 | 1 | 08/05/2004 | Customer Dispute | Denied | $251,326.00 | $0.00 | See FINRA Report |
| William Robert Neville | 346822 | 2 | 08/02/2004 | Customer Dispute | Denied | $12,741.00 | $0.00 | See FINRA Report |
| Leo Rotman | 4499725 | 2 | 07/13/2004 | Customer Dispute | Denied | $241,169.00 | $0.00 | See FINRA Report |
| Thomas William Bertelsen | 849647 | 1 | 07/07/2004 | Customer Dispute | Denied | $9,363.59 | $0.00 | See FINRA Report |
| Lester Allan Gee | 1139746 | 6 | 06/29/2004 | Customer Dispute | Denied | $17,905.10 | $0.00 | See FINRA Report |