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Violation Tracker Individual Record

Company: NYLIFE Securities LLC
Current Parent Company: New York Life Insurance
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $50,000
Year: 2019
Date: June 6, 2019
Offense Group: financial offenses
Primary Offense: investor protection violation
Level of Government: state
Action Type: agency action
Agency: Maine Office of Securities
Civil or Criminal Case: civil
Facility State: Maine
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: mutual
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: insurance
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.