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 |
|---|---|---|---|---|---|---|---|---|
| Adam H Ashoush | 6630002 | 6 | 01/30/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| J L Wilson | 1839948 | 8 | 01/23/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Chris Zorn | 5680122 | 5 | 01/04/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Carol Yvonne Sherrod | 2040525 | 2 | 12/28/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose Fernando Herrera | 2573631 | 5 | 12/21/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Donald Aaron Brown | 7321981 | 3 | 12/19/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Michael Romano | 1667688 | 6 | 12/16/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristopher Kopsaftis | 7687216 | 3 | 12/09/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Shawnee L Barlow | 4316758 | 11 | 12/07/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Dean A de Angelo Baer | 4487974 | 1 | 11/29/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |