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 |
|---|---|---|---|---|---|---|---|---|
| Walter Joseph Fitzpatrick | 7843998 | 4 | 10/20/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Angelo Fancher | 1139618 | 11 | 10/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Tami Sue Duvall | 3050090 | 3 | 09/15/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vernon Russell Stubblefield | 1303578 | 6 | 09/11/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 08/19/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marlene Byars - Moore | 1228996 | 15 | 08/13/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Walter Joseph Fitzpatrick | 7843998 | 4 | 07/24/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brendan Connolly Canavan | 2088053 | 3 | 07/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 07/16/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Wendy W Beck | 1556265 | 4 | 07/07/2014 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |