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 |
|---|---|---|---|---|---|---|---|---|
| William Howard Whatley | 2425721 | 1 | 03/19/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Mark Randall Buller | 2049568 | 1 | 03/05/2008 | Customer Dispute | Settled | $11,573.90 | $0.00 | See FINRA Report |
| Scott Paul MacDonald | 2994054 | 5 | 02/28/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Joseph Patrick Crotty | 2866867 | 1 | 02/27/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Chukwuemeka Godwin Uzoukwu | 3098603 | 1 | 01/31/2008 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven T Kaplan | 4982793 | 1 | 11/16/2007 | Customer Dispute | Settled | $20,807.30 | $0.00 | See FINRA Report |
| Diane Hack Gould | 828331 | 2 | 09/20/2007 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rebecca Ann Hunter | 4371194 | 1 | 09/10/2007 | Customer Dispute | Settled | $25,000.00 | $0.00 | See FINRA Report |
| John Junius Chaisson | 3145799 | 4 | 08/28/2007 | Customer Dispute | Settled | $11,246.40 | $0.00 | See FINRA Report |
| Ryan Joseph Ferguson | 3230680 | 2 | 07/17/2007 | Customer Dispute | Settled | $9,439.00 | $0.00 | See FINRA Report |