January 13, 2020
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 […]
November 25, 2019
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 […]
November 21, 2019
Timothy R. Millis (CRD # 706959) was a Financial Advisor at NYLife Securities LLC in Okemos, MI. Timothy Millis has been in the securities industry since 1980 and previously worked at Valic Financial Advisors, Inc., The Variable Annuity Marketing Company and American Capital Financial Services, Inc. According to publicly available records released by the Financial […]
August 3, 2019
George Shadie (CRD # 2513286) was a Financial Advisor at NY Life Securities in Wilkes Barre, PA. George Shadie has been in the securities industry since 1995 and spent his entire career at NY Life Securities According to publicly available records, on February 7, 2019, NY Life “discharged” George Shadie “after the company’s review of […]
May 29, 2019
Ashley Charles Woodard is a Financial Advisor at NY Life Securities LLC in Greenville, S.C. Ashley Woodard entered the securities industry in 2003 and previously worked for VOYA Financial Advisors, Capital Investment Group, Brookstone Securities, New England Securities, Cuna Brokerage Services, Ameriprise Financial and IDS Life Insurance Company. According to publicly available records released by […]
March 25, 2019
Judith A Johnston is a former Financial Advisor at NY Life Securities in Frisco, TX. Judith Johnston has been in the securities industry since 2009. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on March 18, 2019, FINRA sanctioned Judith Johnston, barring her indefinitely from the securities industry for the […]
January 6, 2019
The Wolper Law Firm, P.A. is currently investigating claims against Kari Bracy, a Financial Advisor at NY Life Securities in Jacksonville, FL. Kari Bracy has been in the securities industry since 2009 and has worked at NY Life for the entirety of her career. According to publicly available records released by the Financial Industry Regulatory […]
October 28, 2018
The Wolper Law Firm, P.A. is currently investigating claims against David Colflesh, a Financial Advisor at New York Life Securities in Tarkio, Montana. David Colflesh has been in the securities industry since the 1980s and worked with NY Life for the entirety of his career. According to publicly available records released by the Financial Industry […]
September 30, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Partho Ghosh, a former Financial Advisor at NY Life in New York, NY. Partho Ghosh has been in the securities industry since 1980s and previously worked at MMC Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on September 27, […]
July 25, 2018
The Wolper Law Firm, P.A. is currently investigating claims against Joel Flaningan, a former Financial Advisor at NY Life Securities in Fort Wayne, Indiana. Joel Flaningan has been in the securities industry since the 2010. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on May 10, 2018, Joel Flaningan was […]