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 |
|---|---|---|---|---|---|---|---|---|
| Domenico Vito Nuzzi | 1574292 | 3 | 11/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Oliver Paul Williams | 824143 | 3 | 11/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James Ramon Ponder | 4854590 | 3 | 10/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Gregory Puccini | 5924737 | 2 | 10/17/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mark Wayne Phillips | 4627660 | 2 | 09/14/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vinson Lamon McCray | 6791758 | 11 | 09/13/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawnee L Barlow | 4316758 | 11 | 08/24/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Philip O James | 4338575 | 2 | 08/24/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas H Gilbert | 4377315 | 12 | 08/07/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gail Ann Kincannon | 1962679 | 4 | 07/18/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |