Category Archives: TIAA-CREF

Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery

January 27, 2016- Maryland

Michael Roger Griffith entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he submitted two fictitious applications for life insurance on behalf of a customer of NYLife, forged the customer’s signature on the applications and set up automatic bank debit for the policies, all without the customer’s knowledge or authorization.

AWC No.  2015046129301

Griffith was barred from the securities industry.

According to FINRA records Griffith was registered with NYLife Securities from 5/2012-9/2015. Prior to that he was registered with TIAA-Cref. 

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