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…
read moreUpdated 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…
read moreJuly 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…
read moreSeptember 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…
read moreJanuary 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…
read moreJuly 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…
read moreMainStay 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…
read moreUPDATE 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…
read moreAugust 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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