NYLife Securities Archives

ER
June 27, 2023

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g June 27, 2023 September 30, 2023

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.…

ER
August 24, 2021

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 ER ER https://secure.gravatar.com/avatar/6eb4734d743f90f655743cf6c4ecf09e?s=96&d=mm&r=g August 24, 2021 August 24, 2021

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, …

Robert Rex, Esq.
May 20, 2020

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g May 20, 2020 May 20, 2020

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…

Robert Rex, Esq.
October 31, 2018

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g October 31, 2018 October 31, 2018

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…

Robert Rex, Esq.
September 16, 2018

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 https://rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert Rex, Esq. Robert Rex, Esq. https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 16, 2018 September 16, 2018

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…