Tag Archives: Jonathan M. Lo

NYLife Securities Stockbroker Barred In Investigation

May 18, 2017  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

Jonathan M. Lo, of New York, New York, a stockbroker formerly registered with NYLife Securities LLC, has been permanently barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate with a FINRA investigation into allegations that he effected unsuitable exchanges of […]

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