Articles Tagged with NYLife Securities

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.