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 |
|---|---|---|---|---|---|---|---|---|
| James Craig Smits | 2148298 | 1 | 12/17/2018 | Customer Dispute | Settled | $18,121.80 | $0.00 | See FINRA Report |
| Everton Mark Lewis | 2469780 | 11 | 11/30/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ken Majid Nooshi | 2539099 | 3 | 11/28/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| John Joseph Rocco | 815809 | 2 | 11/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ken Majid Nooshi | 2539099 | 3 | 11/02/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Larry Lynn Crafton | 1839518 | 3 | 10/01/2018 | Customer Dispute | Settled | $15,410.90 | $0.00 | See FINRA Report |
| Karim Andre Morgan | 5318036 | 6 | 09/18/2018 | Customer Dispute | Settled | $26,300.00 | $0.00 | See FINRA Report |
| Alexander James Crockett | 5700191 | 3 | 09/11/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Christopher Tucciariello | 4477613 | 2 | 08/21/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Daniel Thomas Maher | 2988295 | 2 | 08/09/2018 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |