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NYLife Securities

David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO
David Colflesh-Former NYLife Securities Broker-Subject of Multiple Customer Suits Over Mutual Funds-Tarkio, MO 150 150 Rex Securities Law

October 2018- Tarkio, Missouri The FINRA records of  David R. Colflesh ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a regulatory suspension and 18 prior…

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Alan New-Former NY Life Broker-Subject of Multiple Suits Over Woodbridge Investments-Fort Wayne, IN
Alan New-Former NY Life Broker-Subject of Multiple Suits Over Woodbridge Investments-Fort Wayne, IN 150 150 Rex Securities Law

Updated January 2019- Fort Wayne, Indiana The FINRA records of  Alan Harold New ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose a pending civil matter…

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Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana
Joel Flaningan-Former NYLife Broker-Sued Over Woodbridge Fund Sales-Fort Wayne, Indiana 150 150 Rex Securities Law

July 2018- Fort Wayne, Indiana The FINRA records of  Joel Vincent Flaningan ,  a  former stock broker who is not currently registered and who was last employed by NYLife Securities ,  disclose  a pending customer dispute involving…

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David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY
David S. Silberg-Former Aegis Capital Broker-Discloses Customer Complaints-Port Washington, NY 150 150 Rex Securities Law

September 2019-Port Washington, NY-Tampa, FL The FINRA records of  David S. Silberg ,  a  broker who previously worked for  Aegis Capital Corp.   disclose a prior regulatory event,  3 prior final customer disputes and…

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Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery
Michael Griffith-Former NY Life Stockbroker-Barred from Industry for Forgery 150 150 Rex Securities Law

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…

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Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators
Former NYLife Securities Broker in San Antonio Barred from Industry by Regulators 150 150 Rex Securities Law

July 2,  2015- San Antonio, Texas Emily A. Pena ,  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that she used personal…

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Losses on MainStay Cushing Royalty Energy Income Funds ?
Losses on MainStay Cushing Royalty Energy Income Funds ? 150 150 Rex Securities Law

MainStay Cushing Royalty Energy Income Fund, marketed by NY Life, invested primarily in securities of energy related U.S. royalty trusts, Canadian royalty trusts, Canadian exploration and production companies, and securities of…

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NY Life Broker David Herlicka Suspended/Fined by FINRA-Unsuitable Life Insurance Sales
NY Life Broker David Herlicka Suspended/Fined by FINRA-Unsuitable Life Insurance Sales 150 150 Rex Securities Law

UPDATE April 2017–The FINRA records of David A. Herlicka disclose a final regulator event, 23 prior Final Customer Disputes and a termination from employment. Of the 23 customer disputes, 19…

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NY LIfe Securities Broker Mark Garrison Fined/Suspended
NY LIfe Securities Broker Mark Garrison Fined/Suspended 150 150 Rex Securities Law

August 2014-Easley, South Carolina FINRA assessed a deferred fine of over $37,000 which included disgorgement of commissions to Mark Steven Garrison, a former broker with NY Life Securities, to resolve…

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