Search for: "NYLife Securities LLC"
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23 Aug 2021, 10:48 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois. [read post]
7 Jul 2021, 1:51 pm
According to FINRA Disciplinary actions for June 2021, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Gina Adly MML Investors Services, LLC NYLife Securities LLC Patrick Carberry AXA Advisors, LLC NYLife Securities LLC Roy Cederfranco Morgan… [read post]
9 Dec 2019, 5:34 pm
Almeida entered the securities industry in 2009. [read post]
25 Nov 2019, 9:17 am
Kendrick, NYLife Securities in Shreveport, LA Are you concerned about investments with David Q. [read post]
23 May 2019, 7:47 am
According to FINRA Disciplinary actions for May 2019, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Bang, Gregory NYLife Securities LLC Bishop, Tywan Charles Schwab & Co, Inc ETrade Block, Gabriel First Standard… [read post]
6 Aug 2019, 8:49 am
Independent Financial Group, LLC Kane, Jordan Citizens Securities, Inc Martinez, Joseph Pruco Securities, LLC The Prudential Insurance Company of America Sercia, Anthony Traderfield Securities Inc Legend Securities, Inc Weldon, Benjamin State Farm VP Management Corp FINRA makes this information available, in part, to inform investors about potential red flags or… [read post]
21 Jul 2015, 6:58 am
Chu entered the securities industry in 2004, when he became associated with NYLife Securities LLC (NYLife). [read post]
6 May 2014, 7:02 am
From the Desk of Jim Eccleston at Eccleston Law Offices: David Bridges, a former registered broker employed by NYLife Securities LLC, Allstate Financial Services, LLC, MML Investors Services, Inc., and Northwestern Mutual Investment Services, LLC. was charged with bilking investors out of more than $650,000. [read post]
8 Apr 2020, 11:16 am
New, NYLife Securities, Fort Wayne, IN FINRA Reportedly Bars Advisor Alan H. [read post]
21 Aug 2013, 2:10 am
Peace, Respondent (AWC 2012034828101, August 15, 2013).Peace entered the securities industry in 2007 with NYLife Securities, LLC and first became registered in 2008. [read post]
5 May 2023, 7:48 am
Richard Logalbo Cetera Investment Services LLC MML Investors Services, LLC Harold Ramsey Paulson Investment Company LLC Spartan Capital Securities, LLC Michael Rosalia SW Financial Worden Capital Management LLC Dana Vietor CFD Investments, Inc. [read post]
8 Jan 2020, 7:39 am
Hynes, NYLife Securities in St. [read post]
4 Dec 2020, 6:16 am
. $1.2 million in losses later, the check arrives and the finger-pointing begins.A Tangled Mess of LitigationIn NYLIFE Securities, LLC, Plaintiff, v. [read post]
23 Aug 2016, 2:43 pm
Baffa was most recently licensed through NYLife Securities before being terminated by the firm, per industry records. [read post]
23 Aug 2016, 2:43 pm
Baffa was most recently licensed through NYLife Securities before being terminated by the firm, per industry records. [read post]
29 Sep 2015, 7:18 am
FINRA’s investigation appears to stem from Williams’ termination from NYLife Securities LLC (NYLife) in March 2015. [read post]
20 May 2020, 2:17 pm
Morgan Securities LLC HSBS Securities (USA) Inc Arts, Christopher Scarsdale Equities LLC Leeb Brokerage Services Group, Inc Bailey, Michael PFS Investments Inc Bisch, Sarah Santander Securities LLC Edward Jones Bishop, Tywan Charles Schwab & Co., Inc E Trade Securities LLC Borja, Mauricio Allstate Financial Services,… [read post]
13 Sep 2022, 9:21 am
In 2017, while allegedly associated with NYLife, Bailey purportedly participated in a private securities transaction by soliciting and facilitating a firm client’s $588,000 investment in an LLC membership interest in Golden Empire Seafood, LLC in exchange for compensation from Golden Harvest Alaska Seafood, LLC, without requesting or receiving permission from his member firm. [read post]
3 Jan 2019, 5:57 am
According to FINRA Disciplinary actions for December 2018, the following individuals were suspended from FINRA and cannot currently work for a FINRA brokerage firm for failing to provide FINRA with information it requested or to keep information current with FINRA pursuant to FINRA rules: NAME FORMER EMPLOYERS Barrick, Tabor FBL Marketing Services, LLC Allstate Financial Services, LLC Conklin, Jeffrey The Huntington Investment Company … [read post]
24 Dec 2019, 7:38 am
According to FINRA Disciplinary actions for December 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS Amparo, Nelson Citizens Securities, Inc Santander Securities LLC Bethan, Frank Quest Capital Strategies, Inc Wells Fargo Clearing Services, LLC Brown, Andrew Worden Capital… [read post]
