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NYLife Securities

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Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN
Cynthia Barreira – NYLife Securities Broker- Has Pending Customer Dispute Over Annuity Recommendation-Knoxville, TN 150 150 ER

Cynthia Barriera Investigation June 2023 – Knoxville, TN According to publicly available records  Cynthia Barreira,  a  NYLife Securities broker, discloses a pending customer dispute in connection with the purchase of annuities.…

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Christine Bourdelais-Former NY Life Securities Financial Advisor Suspended by Regulator-Norfolk, VA
Christine Bourdelais-Former NY Life Securities Financial Advisor Suspended by Regulator-Norfolk, VA 150 150 ER

Christine Bourdelais Investigation June  2023, Norfolk, VA According to publicly available records Christine Bourdelais, a former NYLife Securities broker discloses a final regulatory matter.  The Financial Industry Regulatory Authority (FINRA) is the agency…

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Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina
Ashley Woodard-Former VOYA Financial Broker- Disgruntled Investors Paid Over $14 Million-Greenville, South Carolina 150 150 Rex Securities Law

Ashley Woodard Investigation May 2023 – Greenville/ Greer , South Carolina According to publicly available records  Ashley Charles Woodard  ,  a  stockbroker previously employed by VOYA Financial,  discloses 16 prior customer dispute…

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Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL
Daniel Pita-Former NYLife Securities Broker-Barred From Securities Industry by Regulators – Sunrise, FL 150 150 ER

Daniel Pita Investigation April 2023-Sunrise, FL According to publicly available records Daniel Pita , a former broker who last worked for NYLife Securities,  discloses a final regulatory matter resulting in a…

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Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX
Kyle Wittgren -Former NYLife Broker-Subject of 2 Regulatory Events and Termination from Employment-Frisco, TX 150 150 ER

Kyle Wittgren Investigation February 20, 2023- Frisco, TX The FINRA records of Kyle Wittgren,  a stock broker previously employed by NYLife Securities,  disclose 2 regulatory events and a termination from employment. The…

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Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX
Michael Gianetti-Former MML Investor Services Broker-Barred from FINRA- McKinney-TX 150 150 ER

Micheal Gianetti Investigation February 2023-McKinney, TX The FINRA records of  Micheal Gianneti,  a former MML Investor Services broker, disclose that he is permanently barred from FINRA. The Financial Industry Regulatory Authority (FINRA)…

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Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX
Scarlett Ramsey- Former NY Life Securities Broker-Barred From Securities Industry by Regulators – Lubbock, TX 150 150 Rex Securities Law

Scarlett Ramsey Investigation August 2022-Lubbock, TX According to publicly available records Scarlett Deann Ramsey ,a former broker who last worked for NY Life Securities,  discloses a final regulatory matter resulting in…

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Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA
Thomas Barone – Former NYLife Securities Broker- Discloses Regulatory Event, Customer Suit & Termination From Employment- New Orleans, LA 150 150 ER

August 2021- New Orleans, LA According to publicly recorded records, Thomas J. Barone ,  a currently unregistered  financial advisor who was last employed by NYLife Securities,  discloses a regulatory event, …

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Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL
Gabe Hynes -Former Kestra Investment Broker- Discloses Two Regulatory Events, Two Customer Disputes and Two Terminations-St. Augustine, FL 150 150 Rex Securities Law

May 2020- St. Augustine, FL The FINRA records of Gabriel (Gabe) William Hynes, a broker previously employed  by Kestra Investment Services , disclose two regulatory events, one resulting in his bar from the…

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