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 |
|---|---|---|---|---|---|---|---|---|
| Benjamin Bing Yin | 5835533 | 1 | 12/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Nolan Pendleton | 5350768 | 2 | 12/08/2023 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jalinna Deija Fleary | 7730390 | 1 | 12/08/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Betty Lou Moglen | 1246956 | 1 | 12/01/2023 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lori Devine Roberts | 7519645 | 1 | 11/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miriam Catherine Bradley | 7845601 | 2 | 11/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Miriam Catherine Bradley | 7845601 | 2 | 11/30/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Manuel Lamont Harris | 6761705 | 1 | 11/28/2023 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Anthony Melo | 7852095 | 1 | 11/23/2023 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Charlotte Braun | 7665256 | 1 | 11/17/2023 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |