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 Lemoyne Frantz | 1568238 | 1 | 01/04/2022 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Ted Phung Ngo | 2905920 | 1 | 12/02/2021 | Customer Dispute | Settled | $15,853.70 | $0.00 | See FINRA Report |
| Heather M Cagle | 5761130 | 1 | 11/10/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Kermit Roosevelt Griner | 1070425 | 9 | 11/04/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Michael G Fisher | 4596313 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Mark Xavier O'Leary | 6774683 | 1 | 10/06/2021 | Customer Dispute | Settled | $24,140.50 | $0.00 | See FINRA Report |
| Rakesh Raj Bansal | 2169184 | 3 | 09/02/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick Dane Miller | 1177133 | 3 | 08/24/2021 | Customer Dispute | Settled | $19,641.50 | $0.00 | See FINRA Report |
| Shawn Robert Fischer | 1959808 | 4 | 08/21/2021 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Pascal Dung Gia Nguyen | 2131938 | 6 | 08/10/2021 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |