• ER

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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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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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  • Robert Rex, Esq.

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 Robert Rex, Esq.

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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