Nylife Securities LLC

There are Recent Customer Complaints with Broker Sean Starling in Firm Nylife Securities LLC

July 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Starling (Starling), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Starling recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 16, 2020.

Customer alleges the Variable Annuity policy she purchased in June 2013 was initially understood to allow for withdrawals however she recently became aware that this policy does not allow for withdrawals, therefore she is requesting an exception in order to access her funds immediately.

Broker Michael Lee in Nylife Securities LLC Firm Has Customer Complaint

July 7, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Lee (Lee), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Lee recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on July 20, 2020.

Customer alleged that sale of stocks and purchase of two variable annuities in November 2019 was not explained to her. The Firm settled the complaint by reimbursing the surrender charges in the amount of $32,726.72

There are Recent Customer Complaints with Broker James Ostrander in Firm Nylife Securities LLC

July 5, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Ostrander (Ostrander), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Ostrander recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Customer alleges that he was misled regarding the purchase, fees and surrender charges associated with a VA purchased in April 2020.

There are Recent Customer Complaints with Broker Brent Miller in Firm Nylife Securities LLC

July 4, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Miller (Miller), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,724.70 on April 10, 2020.

The customer alleged that two withdrawals from her variable annuity were used to establish an unauthorized MainStay account in the amount of $40,000 on or about February 10, 2020 and the purchase a new variable annuity on or about February 20, 2020 in which she incurred an upfront surcharge of over $4,000. The customer requested a reimbursement of all fees involved in the transaction, which she alleged were not disclosed at the time of the transaction.

There are Recent Customer Complaints with Broker Jim Massung in Firm Nylife Securities LLC

July 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jim Massung (Massung), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Massung recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $15,931.03 on April 20, 2020.

The customer alleged that the RR misrepresented the features of a Mainstay investment product and failed to advise the customers that the product featured a daily withdrawal limit.

Broker Timothy Jaggi in Nylife Securities LLC Firm Has Customer Complaint

July 2, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Timothy Jaggi (Jaggi), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Jaggi recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 05, 2020.

Upon reviewing the customer’s Variable Annuity policies, the Firm noted that the surrender charges on the replacement policy exceeded suitability guidelines. The customer accepted the Firm’s offer to refund the surrender charge incurred in the replacement of the variable annuity purchased in March 2019.

There are Recent Customer Complaints with Broker William Humbarger in Firm Nylife Securities LLC

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), currently associated with Nylife Securities LLC, has at least 6 disclosable events. These events include 6 customer complaints, alleging that Humbarger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Plaintiffs allege that in or about March 2016 they were told that no changes were necessary to their VULs and were not informed that their VUL policies were in jeopardy of lapsing. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

Broker William Humbarger in Nylife Securities LLC Firm Has Customer Complaint

July 1, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker William Humbarger (Humbarger), previously associated with Nylife Securities LLC, has at least 7 disclosable events. These events include 7 customer complaints, alleging that Humbarger recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on August 13, 2020.

Plaintiffs allege that in or around February 1999 and March 1999 they were misled into exchanging life insurance policies into Variable Universal Life policies which carried significant surrender charges and were not suitable. Plaintiffs seek compensatory and punitive damages as well as costs and fees.

Broker Brent Miller in Nylife Securities LLC Firm Has Customer Complaint

June 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brent Miller (Miller), currently associated with Nylife Securities LLC, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Miller recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,724.70 on April 10, 2020.

The customer alleged that two withdrawals from her variable annuity were used to establish an unauthorized MainStay account in the amount of $40,000 on or about February 10, 2020 and the purchase a new variable annuity on or about February 20, 2020 in which she incurred an upfront surcharge of over $4,000. The customer requested a reimbursement of all fees involved in the transaction, which she alleged were not disclosed at the time of the transaction.

There are Recent Customer Complaints with Broker Logan Callaway in Firm Nylife Securities LLC

June 26, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Logan Callaway (Callaway), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Callaway recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint on May 04, 2026.

The customer alleges that the recommendation to surrender an annuity at another company and purchase a variable annuity in January 2026 resulted in significant surrender charges and the loss of a premium bonus. The customer is requesting a formal review of this transaction, including the suitability of the recommendation, the characterization of the rollover, and the disclosures provided.