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 |
|---|---|---|---|---|---|---|---|---|
| Dennis George Poulos | 1113259 | 5 | 11/18/1992 | Customer Dispute | Settled | $97,000.00 | $0.00 | See FINRA Report |
| Ho Shun Hui | 2021256 | 1 | 04/19/1991 | Customer Dispute | Award / Judgment | $17,600.00 | $8,000.00 | See FINRA Report |
| Jeffrey Charles Ricketts | 1188626 | 1 | 02/05/1991 | Customer Dispute | Award / Judgment | $20,000.00 | $21,400.00 | See FINRA Report |
| James Peter Healy | 1255975 | 1 | 03/31/1988 | Customer Dispute | Settled | $20,000.00 | $0.00 | See FINRA Report |