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 |
|---|---|---|---|---|---|---|---|---|
| Joseph Angelo Auteri | 2390615 | 9 | 11/07/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gary William Moore | 6072258 | 1 | 11/04/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesse Carbullido Rivera | 1121307 | 7 | 10/28/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Gerald Ferrara | 2729111 | 4 | 10/21/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nazleen B Tharani | 7191072 | 6 | 10/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert Edward Vest | 1399324 | 2 | 10/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Sungsu John Kang | 1317909 | 8 | 10/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Wade Fisher | 5485402 | 4 | 10/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Daniel Wade Fisher | 5485402 | 4 | 10/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brion Patrick Kavanagh | 5246557 | 3 | 09/26/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |