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 |
|---|---|---|---|---|---|---|---|---|
| Christopher Stormont Dodd | 7440612 | 1 | 06/24/2024 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Myong Won Park | 1457956 | 2 | 06/12/2024 | Customer Dispute | Pending | $0.00 | $0.00 | See FINRA Report |
| Gabriel Fernandez | 7295251 | 3 | 06/11/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Rodney Gilbert Smitherman | 1564680 | 5 | 06/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yuliana Lorena Franco | 6729668 | 1 | 06/05/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Bradley Scott Schwartz | 5252880 | 4 | 05/31/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kristopher Kopsaftis | 7687216 | 3 | 05/31/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Peter Pakkeung Chan | 1969398 | 3 | 05/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Yukyi Susan Lai | 2836646 | 3 | 05/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Vinson Lamon McCray | 6791758 | 11 | 05/22/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |