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NYLife Securities

Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX
Stephen Encino-Former NYLife Securities Broker Barred from Securities Industry-San Antonio, TX 150 150 Rex Securities Law

April 2020-San Antonio, TX The FINRA records of Stephen A. Encino, a broker previously employed  by  NYLife Securities, disclose  a regulatory event resulting in his bar from the securities industry. The Financial…

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Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA
Dean H. Grant-Former M Holdings Securities Broker-Discloses Pending Criminal Charges -Milledgeville, GA 150 150 Rex Securities Law

February 2020- Milledgeville, GA The FINRA records of Dean Harrison Grant  , a former stock broker who last worked for M Holdings Securities, Inc. , disclose  a regulatory event resulting in a bar from the securities…

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Pamela Jo Lizanich (Kramer)-Former VOYA Financial Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Greenville, S. Carolina
Pamela Jo Lizanich (Kramer)-Former VOYA Financial Advisor-Discloses Customer Disputes Over LP’s & Direct Investments-Greenville, S. Carolina 150 150 Rex Securities Law

October 2020-Greenville, S. Carolina According to publicly available records Pamela Jo Lizanich (Pamela Jo Kramer)  ,  a  stockbroker who is currently registered with NY Life Securities,  disclose 4 currently pending…

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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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