Articles Tagged with NYLife Securities

Timothy MillisPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 13, 2019 indicate that former Michigan-based NYLife Securities broker/adviser Timothy Millis, who has received a customer complaint, recently resigned from a former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Millis (CRD# 706959).

Timothy Millis has spent 39 years in the securities industry and was most recently registered with NYLife Securities in Okemos, Michigan (2002-2019). Previous registrations include Valic Financial Advisors in Houston, Texas (1999-2002); the Variable Annuity Marketing Company in Houston, Texas (1980-2001); and American Capital Financial Services (1980-1984). He has passed six securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on April 8, 2016; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 1998; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on May 15, 2001; Series 1 (Registered Representative Examination), which he obtained on March 31, 1980; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on August 23, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and recently resigned from his former employer in connection to alleged rule violations.

Steven KaneskiPublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 17, 2019 indicate that former California-based NYLife Securities broker/adviser Steven Kaneski has received resolved or pending customer disputes and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Kaneski (CRD# 2028197).

Steven Kaneski has spent 21 years in the securities industry and was most recently registered with NYLife Securities in Roseville, California (1996-2018). He has no previous registrations. He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 6, 1996; SIE (Securities Industry Essentials Examination), which he obtained on February 12, 2018; Series 7 (General Securities Representative Examination), which he obtained on March 5, 2001; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 6, 1996. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

Ken NooshiPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that California-based NYLife Securities broker Ken Nooshi has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Nooshi (CRD# 2539099).

Ken Nooshi has spent 23 years in the securities industry and has been registered with NYLife Securities in Woodland Hills, California since 1995. He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 18, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 14, 1995. He is a registered broker with four US states: California, New Jersey, Oregon, and Virginia.

According to his BrokerCheck report, he has received one customer complaint and two pending customer complaints.

Everton Lewis

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 29, 2019 indicate that New York-based NYLife Securities broker Everton Lewis has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lewis (CRD# 2469780).

Everton Lewis has spent 24 years in the securities industry and has been registered with NYLife Securities in New York, New York since 1994. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on AUgust 15, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 15, 1994. He is a registered broker with 19 US states and territories: Arizona, California, Connecticut, the District of Columbia, Florida, Georgia, Kentucky, Massachusetts, Mississippi, Nevada, New Jersey, New York, North Carolina, North Dakota, Ohio, Pennsylvania, Virginia, South Carolina, and Washington.

According to his BrokerCheck report, he has received one pending customer complaint and five unsatisfied tax liens.

Patrick IngramPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on January 10, 2019 indicate that former Mississippi-based NYLife Securities broker Patrick Ingram, who has received resolved or pending customer disputes, recently resigned from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ingram (CRD# 255022).

Patrick Ingram has spent 44 years in the securities industry and was most recently registered with NYLife Securities in Cleveland, Mississippi (1996-2018). Previous registrations include NYLife Securities in New York, New York (1982-1995) and New York Life Variable Contracts Corporation (1970-1979). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 24, 1996; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 1 (Registered Representative Examination), which he obtained on October 7, 1970. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received two customer complaints, one denied customer complaint, and one pending customer complaint, and he recently resigned from his former employer in connection to alleged rule violations.

David ColfleshPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 13, 2018 indicate that former Missouri-based NYLife Securities broker/adviser David Colflesh, who has received numerous customer disputes, was recently sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Colflesh (CRD# 1184117).

David Colflesh has spent 33 years in the securities industry and was most recently registered with NYLife Securities in Tarkio, Missouri (1983-2019). He has no previous registrations. He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 22, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1985; SIE (Securities Industry Essentials Examination), which he obtained on November 1, 2016; Series 22 (Direct Participation Programs Representative Examination), which he obtained on November 29, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on September 19, 1983. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received 17 customer complaints and one regulatory sanction.

Michael Gisonda

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 3, 2018 indicate that Florida-based NYLife Securities broker/adviser Michael Gisonda has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Gisonda (CRD# 2730740).

Michael Gisonda has spent 20 years in the securities industry and has been registered with NYLife Securities in Boca Raton, Florida since 2000. Previous registrations include Argus Securities in Hallandale, Florida (2000); First Colonial Securities Group in Boca Raton, Florida (1998-1999); WJ Nolan & Company in New York, New York (1998); EC Capital in Mineola, New York (1997-1998); the Hamilton-Shea Group in Pompano Beach, Florida (1997); Josephthal Lyon & Ross in New York, New York (1997); the Boston Group in Los Angeles, California (1996-1997); Robert M. Cohen & Company in Great Neck, New York (1996); and Royce Investment Group in Woodbury, New York (1996). He has passed three securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on October 29, 2001; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 24, 1996; and Series 7 (General Securities Representative Examination), which he obtained on April 18, 1996. He is a registered broker and investment adviser with 20 US states and territories: Alabama, Arizona, California, Colorado, Florida, Georgia, Illinois, Indiana, Minnesota, Nevada, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, South Carolina, Tennessee, Texas, and Washington.

According to his BrokerCheck report, he has received one customer complaint.