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FINRA Broker Disclosures for NYLife Securities LLC

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.

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Displaying 11-20 out of 72 results
Name CRD Total Disclosures Filing Date Disclosure Type Disclosure Status Damages Requested Damages Granted FINRA Reports
Joseph M Garrel5720656109/09/2021RegulatoryFinal$0.00$0.00See FINRA Report
Alexa Sider Pao5675301107/02/2021RegulatoryFinal$0.00$0.00See FINRA Report
Angel Lynn Simpson6488474212/15/2020RegulatoryFinal$0.00$0.00See FINRA Report
Loann Christine Thompson3079752210/21/2020RegulatoryFinal$0.00$0.00See FINRA Report
Brett Mitchell Sause3275164304/16/2020RegulatoryFinal$0.00$0.00See FINRA Report
Jerome Anthony Timmermann1179608310/09/2019RegulatoryFinal$0.00$0.00See FINRA Report
David Paul Brown1255624309/24/2018RegulatoryFinal$0.00$0.00See FINRA Report
Robert J Cinnante5532651509/29/2017RegulatoryFinal$0.00$0.00See FINRA Report
Stephen Thomas McCauley2103926702/08/2017RegulatoryFinal$0.00$0.00See FINRA Report
Baldev S Srichawla6324857201/26/2017RegulatoryFinal$0.00$0.00See FINRA Report

72 Results

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