Tag Archives: NYLife Securities

FINRA Bars NYLife Stockbroker For Lying During Investigation

August 26, 2021  |   Posted by :   |   Forgery, Investment and Regulatory News   |   Comments Off on FINRA Bars NYLife Stockbroker For Lying During Investigation

Alexis Kinashea Cooke of Lake Success 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 founded on findings that Cooke engaged in forgery and the falsification of applications relating to variable annuity products, and she failed to provide […]

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FINRA Bars NYLife Stockbroker For Failure To Comply

Issac Preston Onu (also known as Ajah Onu) of Atlanta Georgia 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 allegations that Onu neglected to provide a response to FINRA personnel after information had been formally requested of […]

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NYLife Sued By Investors For Misrepresentation

Amr Mostafa Amboulmagd of Horsham Pennsylvania a stockbroker formerly employed by NYLife Securities LLC is referenced in a customer initiated investment related written complaint which was settled for $15,834.58 in damages on May 30, 2017 founded on accusations that Amboulmagd made misrepresentations to the customer with respect to the fees and guarantees on a variable […]

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NYLife Accused By Customer Of Annuity Fraud

June 25, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Grover Vance Hinebaugh Jr. of Lady Lake Florida a stockbroker currently employed by NYLife Securities LLC is the subject of a customer initiated investment related complaint on January 12, 2018 in which the customer requested $19,369.85 in damages based upon allegations that the customer was inappropriately advised to liquidate bond investments and buy a variable […]

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NYLife Securities Barred For Misusing Customer Funds

William Oscar Hardy, a NYLife Securities, was permanently barred by Financial Industry Regulatory Association (FINRA) after consenting to findings that he misused customer insurance premium funds. Letter of Acceptance, Waiver, and Consent No. 2014039881901 (May 4th, 2015). According to FINRA, Hardy was employed with NYLife Securities LLC in May, 2002 through February 21, 2014. The […]

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