Articles Tagged with NYLife

Samuel Herbert Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on August 1, 2016 indicate that Louisiana-based NYLife Securities broker/adviser Samuel Herbert has been the subject of numerous customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Herbert (CRD# 2679181).

Samuel Herbert has spent 20 years in the securities industry and has been registered with NYLife Securities in Lake Charles, Louisiana since 1995. He has no previous registrations. He is a registered broker and investment adviser with fourteen US states and territories: Alabama, Arizona, Arkansas, Louisiana, Maryland, Mississippi, New Jersey, New Mexico, New York, Oklahoma, Pennsylvania, South Dakota, Tennessee, and Texas. Continue Reading

Karley CartoPublicly available records published by the Financial Industry Regulatory Authority on July 27, 2016 indicate that Rhode Island-based MML Investors Services broker Karley Carto has been named in a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Ms. Carto (CRD# 6055603).

Karley Carto has spent four years in the securities industry and has been registered with MML Investors Services in Warwick, Rhode Island since September 2015. She was previously registered with NYLife Securities in Johnston, Rhode Island (2012-2015). She is a registered broker and investment adviser with six US states: Arizona, Connecticut, Massachusetts, New Hampshire, Rhode Island, and South Dakota. Continue Reading

Jonathan WilliamsPublic records published by the Financial Industry Regulatory Authority (FINRA) on July 5, 2016 indicate that former Maryland-based NYLife broker Jonathan Williams has been permanently barred from acting as a broker. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Williams (CRD# 4069029).

Jonathan Williams has spent 15 years in the securities industry and was most recently registered with NYLife Securities in Timonium, Maryland (2006-2015). Previous registrations include Ameriprise Financial Services in Minneapolis, Minnesota (2000-2006) and IDS Life Insurance Company in Minneapolis, Maryland (2000-2006). Mr. Williams is currently not registered with any state or firm. Continue Reading

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