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 |
|---|---|---|---|---|---|---|---|---|
| Pascal Dung Gia Nguyen | 2131938 | 6 | 08/05/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Heath B Houston | 5395139 | 1 | 07/31/2013 | Customer Dispute | Settled | $17,302.90 | $0.00 | See FINRA Report |
| Simon Moses Kepecs | 1092793 | 2 | 07/02/2013 | Customer Dispute | Settled | $21,649.60 | $0.00 | See FINRA Report |
| Yuk-Kin Monita Kuan | 3110889 | 1 | 06/03/2013 | Customer Dispute | Settled | $38,980.00 | $0.00 | See FINRA Report |
| Lee Alan Kitzenberg | 4534245 | 4 | 05/31/2013 | Customer Dispute | Settled | $14,320.20 | $0.00 | See FINRA Report |
| Juan Lorenzo Cosio | 2419671 | 1 | 04/16/2013 | Customer Dispute | Settled | $140,802.00 | $0.00 | See FINRA Report |
| Gary Wayne Lewis | 1219546 | 4 | 04/11/2013 | Customer Dispute | Settled | $139,162.00 | $0.00 | See FINRA Report |
| Kenneth Paul Specht | 2081748 | 1 | 03/13/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Roderick Carr | 2519594 | 2 | 02/27/2013 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Alison Joy Flaum | 2951500 | 3 | 01/30/2013 | Customer Dispute | Settled | $6,701.59 | $0.00 | See FINRA Report |