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 |
|---|---|---|---|---|---|---|---|---|
| John Joseph Rocco | 815809 | 2 | 04/09/2001 | Customer Dispute | Settled | $70,702.00 | $0.00 | See FINRA Report |
| Dianna Kemp Mercier | 1069041 | 1 | 08/15/2000 | Customer Dispute | Settled | $17,965.00 | $0.00 | See FINRA Report |
| Rick Lyle Phillips | 1186798 | 5 | 07/27/2000 | Customer Dispute | Settled | $23,850.00 | $0.00 | See FINRA Report |
| John Thomas Ermer | 1567043 | 1 | 01/31/2000 | Customer Dispute | Settled | $20,090.00 | $0.00 | See FINRA Report |
| Stacy Hoffman | 2024467 | 2 | 11/10/1999 | Customer Dispute | Settled | $240,000.00 | $0.00 | See FINRA Report |
| Eric Kazuyoshi Takao | 804445 | 2 | 06/09/1999 | Customer Dispute | Settled | $113,618.00 | $0.00 | See FINRA Report |
| Richard William Osterbuhr | 1939040 | 2 | 04/02/1999 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Samuel Galperin | 1072556 | 1 | 12/28/1998 | Customer Dispute | Settled | $95,000.00 | $0.00 | See FINRA Report |
| Mark Gerard Heinemann | 1479584 | 1 | 11/04/1998 | Customer Dispute | Settled | $308,000.00 | $0.00 | See FINRA Report |
| John Knox McCallum | 2464778 | 1 | 01/05/1998 | Customer Dispute | Settled | $234,000.00 | $0.00 | See FINRA Report |