Latest Securities Lawyer News

Gerald James Page (CRD: 7577838), a former NYLife Securities LLC broker based in Horsham, Pennsylvania, worked for the firm from September 21, 2022, to July 23, 2026. BrokerCheck disclosures describe a FINRA disciplinary action against Page following an inquiry into possible undisclosed outside business activities. Below is a closer look at how the regulatory matter […]

Kim Thien Tran (CRD #5575725, Sugar Land, Texas) was suspended from association with any FINRA member in all capacities for nine months, according to FINRA's Disciplinary and Other FINRA Actions report for September 2026. An AWC issued on July 2, 2026 found that Tran falsified documents and information relating to a customer's life insurance policy and commingled customer funds with her own. Tran consented to the sanctions and to the entry of findings without admitting or denying them, according to the AWC.

Investors potentially incurred losses because of securities broker Kelly Ann Decker [CRD: 4901228, Plymouth, Minnesota], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Decker has been registered with NYLIFE Securities LLC since October 27, 2005. Read on to find out more about the client complaints disclosed on Decker's FINRA BrokerCheck report. NYLIFE […]

Investors might have suffered losses due to securities broker Paula K. Petersen (also known as Paula Schamberger) [CRD: 7078487, Aspen, Colorado], given the public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Petersen worked for NYLIFE Securities LLC from April 2, 2019, to June 20, 2024, and Hornor, Townsend Kent LLC from June 17, 2024, […]

Investors apparently complained about securities broker Michael Thomas Polito (also known as Thomas Michael Polito) [CRD: 5433956, Dedham, Massachusetts], based on public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Polito has been registered with NYLIFE Securities LLC since December 18, 2007, and Eagle Strategies LLC since April 1, 2019. Read on to discover […]

Investors potentially experienced sales practice violations by securities broker Mark Perry Kissinger [CRD: 4546631, Frisco, Texas], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Kissinger worked for NYLIFE Securities LLC since November 27, 2018, and Eagle Strategies LLC since March 15, 2023. Read on for a better understanding about the disclosures involving this […]

Investors potentially incurred losses because of securities broker Rylan Chase Haecker [CRD: 7030389, San Antonio, Texas], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Rylan Haecker worked for NYLIFE Securities LLC from October 18, 2019, to May 19, 2022. Keep reading to discover more about disclosures involving this securities broker and the client […]

FINRA barred securities broker Cesar Manuel Casado [CRD: 6215747, Waltham, Massachusetts], according to public information located on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Casado worked for NYLIFE Securities LLC from November 4, 2014, to July 24, 2024. Investors are encouraged to continue reading to find out more about Casado’s regulatory history and disclosures. Casado Sanctioned […]

Investors have reportedly disputed the sales practices of securities broker Douglas Mack Farris Jr [CRD: 2973692, Dayton, Ohio], based on publicly available information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. It appears that Farris has been registered with NYLIFE Securities LLC since February 11, 2004. Keep reading to learn more about disclosures involving this securities […]