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 |
|---|---|---|---|---|---|---|---|---|
| Stacie Moore Rice | 4321768 | 2 | 02/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Chris Zorn | 5680122 | 5 | 02/23/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Justin Edward Hessler | 7785311 | 6 | 02/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gabriel Fernandez | 7295251 | 3 | 02/21/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Terry Scott Mathias | 5612418 | 2 | 02/20/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michael Alan Rudolph | 1199955 | 2 | 02/12/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Ryan M Vanrossum | 5655094 | 1 | 02/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas J Kanaley | 4299839 | 8 | 02/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Alan Hoberman | 4299250 | 9 | 02/06/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Gilbert Smitherman | 1564680 | 5 | 02/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |