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Category: NY Life Securities

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NYLife Securities Broker Marlyn McClain Has Four Customer Complaints

Marlyn McClain (CRD: 325415) is a registered Broker at NYLife Securities in Elkhorn, NE. Broker’s Background She entered the securities industry in 1974 and previously worked for New York Life Variable Contracts Corp. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority […]

Former NY Life Broker Esmeralda Espinoza Has Insurance Related Customer Complaint

Former NY Life Broker Esmeralda Espinoza Has Insurance Related Customer Complaint Broker’s Background She entered the securities industry in 2015 and previously worked for First Financial Equity Corporation; and NYLife Securities, LLC. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), […]

Kyle Wittgren Barred by FINRA Following An Investigation Regarding Annuity Sales

Kyle Wittgren (CRD#: 6221630) is a previously registered Broker. Broker’s Background He entered the securities industry in 2013 and previously worked for NY Life Securities, LLC, and OneAmerica Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in December […]

Former NYLife Securities Broker Narith Long Has Five Customer Complaint Disclosures, Alleging Sales Practice Misconduct

Narith Long (CRD#: 6598152) is a previously registered Broker at NYLife Securities, LLC in Glendale, CA. He entered the securities industry in 2018 and previously worked for Northwestern Mutual Investment Services, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in July 2021, a customer complaint was filed against Narith […]

Former NYLife Securities Financial Advisor Daniel Jossen Barred By FINRA For Alleged Sales Practice Misconduct

Daniel Jossen (CRD#: 5463761) is a previously registered Broker and Investment Advisor at NYLife Securities, LLC in Bethesda, MD. He entered the securities industry in 2007 and previously worked for Park Avenue Securities, LLC. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), in June 2021, FINRA sanctioned Daniel Jossen, barring […]

NY Life Securities Broker, William Humbarger, Has Four Customer Complaint Disclosures Alleging Sales Practice Misconduct

William Humbarger (CRD #4294223) is a Financial Advisor at NY Life Securities in Indianaola, Mississippi. William Humbarger has been in the securities industry since 2000 and has been registered with NY Life the entirety of that time. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), William Humbarger has been the […]

Former NY Life Securities Broker, Felix Chu, Barred By FINRA After Failing To Cooperate With Investigation

Felix Chu (CRD # 2427593) was a Financial Advisor at NY Life Securities in Pleasant Hill, California. Felix Chu has been in the securities industry since 1994 and worked at NY Life his entire career. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on December 4, 2019, FINRA sanctioned Felix […]

Former NY Life Securities Broker, William Hite, Suspended Six Months By FINRA For Allegedly Forging Client Signatures

William Hite (CRD # 1675972) was a Financial Advisor at NY Life Securities. William Hite has been in the securities industry since 1998 and previously worked for a number of brokerage firms, including Metlife Securities and Metropolitan Life Insurance Co. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March […]

Former NY Life Securities Broker, Gabriel Hynes, Barred By FINRA For Selling Future Income Payments, LLC To Retail Investors

Gabriel Hynes (CRD # 3152541) was a former Financial Advisor at NY Life Securities in St. Augustine, FL.  Gabriel Hynes has been in the securities industry since 1999 and previously worked at Kestra Investment Services. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on January 7, 2020, FINRA sanctioned Gabriel […]

Former NY Life Securities Broker, David Kendrick, Suspended By FINRA For 18 Months For Allegedly Engaging In Unapproved Private Securities Transactions

David Kendrick (CRD # 4384666) was a Financial Advisor at NY Life Securities in Shreveport, Louisiana.  David Kendrick previously worked at Lincoln Financial Advisors Corp. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on November 20, 2019, David Kendrick was suspended by FINRA for 18 months and fined $30,000 for […]