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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Earl Whitted | 7785316 | 4 | 07/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Curtis Medairy | 1219555 | 4 | 07/09/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jesse Carbullido Rivera | 1121307 | 7 | 07/08/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jerry Chiu Kwan | 4501379 | 3 | 07/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Thomas Worthley | 5676128 | 3 | 07/02/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Pakkeung Chan | 1969398 | 3 | 07/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yukyi Susan Lai | 2836646 | 3 | 07/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marlene Byars - Moore | 1228996 | 15 | 06/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Charles Douglas Moore | 2105717 | 1 | 06/20/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael William Brown | 6912457 | 3 | 06/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |