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 |
|---|---|---|---|---|---|---|---|---|
| Jerry Chiu Kwan | 4501379 | 3 | 04/17/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Anthony Lorenzo Rogers | 1959595 | 3 | 04/15/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shannon Ledel Pickett | 6814118 | 2 | 04/11/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lee Arthur McDonald | 5622167 | 1 | 04/10/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brion Patrick Kavanagh | 5246557 | 3 | 04/01/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rachel Marie Garcia | 4935119 | 8 | 03/27/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Gilbert Smitherman | 1564680 | 5 | 03/19/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| William Andrew Johnstone | 2954128 | 4 | 03/18/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Robert V Cohen | 4351299 | 6 | 03/06/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas H Gilbert | 4377315 | 12 | 02/27/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |