Tag Archives: Kristopher A. Galicia Rodriguez

NYLife Broker Barred For Disregarding FINRA Requests

November 12, 2018  |   Posted by :   |   Investment and Regulatory News   |   0 Comments

Kristopher A. Galicia Rodriguez of New Windsor New York a stockbroker formerly registered with NYLife Securities LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by accusations that he failed to provide information to FINRA that had been requested from him. Case No. 2017053367801 (Aug. 7, […]

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