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 |
|---|---|---|---|---|---|---|---|---|
| Ryan M Vanrossum | 5655094 | 1 | 02/08/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Thomas J Kanaley | 4299839 | 8 | 02/07/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Douglas MacK Farris | 2973692 | 4 | 02/07/2024 | Customer Dispute | Settled | $190,400.00 | $0.00 | See FINRA Report |
| John William Howell | 2703625 | 1 | 02/06/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Richard Alan Hoberman | 4299250 | 9 | 02/06/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Lacey Brooke Neuman | 7297646 | 1 | 02/06/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Rodney Gilbert Smitherman | 1564680 | 5 | 02/02/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeremy Kenneth Meger | 3172195 | 2 | 01/31/2024 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Robert C Burkhart | 4316078 | 2 | 01/26/2024 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Joanna Eunice Heere | 7706309 | 2 | 01/24/2024 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |