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 |
|---|---|---|---|---|---|---|---|---|
| Carrie Lynn Hall | 1405784 | 1 | 01/05/2004 | Customer Dispute | Denied | $157,000.00 | $0.00 | See FINRA Report |
| Gail Ann Kincannon | 1962679 | 4 | 12/17/2003 | Customer Dispute | Settled | $55,135.30 | $0.00 | See FINRA Report |
| Rakesh K Sharma | 3030547 | 1 | 12/16/2003 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bruce Edward Dowell | 2282070 | 7 | 11/24/2003 | Customer Dispute | Denied | $20,575.80 | $0.00 | See FINRA Report |
| Anthony Drake Miller | 2302303 | 1 | 11/13/2003 | Customer Dispute | Denied | $77,000.00 | $0.00 | See FINRA Report |
| John Edwin Pauley | 1094820 | 1 | 11/10/2003 | Customer Dispute | Denied | $29,355.40 | $0.00 | See FINRA Report |
| Harry Charles Schaffer | 2844805 | 1 | 11/06/2003 | Customer Dispute | Denied | $30,000.00 | $0.00 | See FINRA Report |
| Oliver Ben Caldwell | 1271182 | 1 | 10/30/2003 | Customer Dispute | Denied | $11,606.00 | $0.00 | See FINRA Report |
| James Allen Kaniper | 1232631 | 2 | 10/20/2003 | Customer Dispute | Denied | $12,975.00 | $0.00 | See FINRA Report |
| Stephen Andrew Somogyi | 1199184 | 3 | 10/08/2003 | Customer Dispute | Denied | $6,945.64 | $0.00 | See FINRA Report |