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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Mark Patton | 5135020 | 1 | 01/30/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Aaron Michael Jones | 5148567 | 1 | 01/03/2017 | Customer Dispute | Settled | $5,279.85 | $0.00 | See FINRA Report |
| Marla Jane Norton | 4255115 | 1 | 12/28/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jennie Perry Marks | 5576763 | 3 | 12/27/2016 | Customer Dispute | Settled | $18,800.00 | $0.00 | See FINRA Report |
| Kevin Ronald Johnson | 1139489 | 4 | 12/16/2016 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Belva Maria Cook | 2697358 | 1 | 12/13/2016 | Customer Dispute | Settled | $196,964.00 | $0.00 | See FINRA Report |
| Joseph P Ponchione | 4513456 | 2 | 11/08/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Nicholas D Rogers | 4587206 | 1 | 10/18/2016 | Customer Dispute | Settled | $5,079.34 | $0.00 | See FINRA Report |
| Jason Jeffery Metzger | 2893148 | 1 | 08/22/2016 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gurinder Bassi | 6106151 | 1 | 08/11/2016 | Customer Dispute | Settled | $6,565.71 | $0.00 | See FINRA Report |