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 |
|---|---|---|---|---|---|---|---|---|
| Gillian Carole Lotz Hopkins | 4126198 | 6 | 02/06/2004 | Customer Dispute | Settled | $51,019.50 | $0.00 | See FINRA Report |
| David Leon Johnson | 1121031 | 1 | 01/23/2004 | Customer Dispute | Settled | $600,000.00 | $0.00 | See FINRA Report |
| Gail Ann Kincannon | 1962679 | 4 | 12/17/2003 | Customer Dispute | Settled | $55,135.30 | $0.00 | See FINRA Report |
| Jesse Paul Crispe | 2562512 | 4 | 09/07/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Melvin Marion Adams | 1161736 | 2 | 07/18/2003 | Customer Dispute | Settled | $25,869.00 | $0.00 | See FINRA Report |
| Lester Allan Gee | 1139746 | 6 | 04/07/2003 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| Galen Dwight Dody | 1911757 | 3 | 03/31/2003 | Customer Dispute | Settled | $17,157.00 | $0.00 | See FINRA Report |
| Robert Clinton Zobel | 2287588 | 1 | 12/12/2002 | Customer Dispute | Settled | $200,000.00 | $0.00 | See FINRA Report |
| David Jay Uchansky | 1320657 | 1 | 11/18/2002 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Bradley Dufrane | 2656156 | 3 | 10/29/2002 | Customer Dispute | Settled | $18,959.70 | $0.00 | See FINRA Report |