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 |
---|---|---|---|---|---|---|---|---|
Joseph M Garrel | 5720656 | 1 | 09/09/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Alexa Sider Pao | 5675301 | 1 | 07/02/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Angel Lynn Simpson | 6488474 | 2 | 12/15/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Loann Christine Thompson | 3079752 | 2 | 10/21/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Brett Mitchell Sause | 3275164 | 3 | 04/16/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Jerome Anthony Timmermann | 1179608 | 3 | 10/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
David Paul Brown | 1255624 | 3 | 09/24/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Robert J Cinnante | 5532651 | 5 | 09/29/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Stephen Thomas McCauley | 2103926 | 7 | 02/08/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
Baldev S Srichawla | 6324857 | 2 | 01/26/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |