Nylife Securities LLC

Broker Stephen Frantz in Nylife Securities LLC Firm Has Customer Complaint

December 28, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer’s POA alleges that the recommendation to purchase annuities, including variable annuities purchased in June 2006 and March 2017 resulted very little liquidity. The POA requests to transfer or rollover the funds without any surrender fees or other penalties.

There are Recent Customer Complaints with Broker Ammie Mareez De Los Reyes in Firm Nylife Securities LLC

December 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not accurate.

There are Recent Customer Complaints with Broker Antonio Hernandez in Firm Nylife Securities LLC

December 24, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not\, accurate.

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

December 23, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 29, 2022.

Customer alleges that the signature contained on some of his account documentation on file for his policy is not his signature. The policy in question is a Variable Annuity policy that was purchased by the customer in February 2015.

There are Recent Customer Complaints with Broker Michael Polito in Firm Nylife Securities LLC

December 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 17, 2025.

The Customers express serious concerns regarding the suitability of the Variable Annuities recommended in March 2018, November 2021, and April 2025 and request that they be permitted to transfer their assets without surrender charges or penalties.

Broker Jason Min in Nylife Securities LLC Firm Has Customer Complaint

December 20, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint on October 23, 2025.

The customer alleged he was misled regarding Variable Annuity surrender charges of policies purchased in May 2025 and when he purchased another in June 2025.

There are Recent Customer Complaints with Broker Eric Bernhard in Firm Nylife Securities LLC

December 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $65,000.00 on October 31, 2025.

The Claimant alleges he was misled into purchasing Energy 11 LP on July 14, 2016

There are Recent Customer Complaints with Broker Bernadette Baumgarten in Firm Nylife Securities LLC

December 18, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $388,351.00 on November 12, 2025.

Claimant alleges the failure to protect her from vulnerable investor financial exploitation was a breach of the duty to act in her best interest. Claimant demands damages in the amount of not less than $388,351, plus interest, costs, attorney’s fees, and punitive damages.

There are Recent Customer Complaints with Broker Stephen Frantz in Firm Nylife Securities LLC

December 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on January 04, 2022.

Customer’s POA alleges that the recommendation to purchase annuities, including variable annuities purchased in June 2006 and March 2017 resulted very little liquidity. The POA requests to transfer or rollover the funds without any surrender fees or other penalties.

There are Recent Customer Complaints with Broker Ammie Mareez De Los Reyes in Firm Nylife Securities LLC

December 9, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on February 07, 2022.

Customer alleges the Fixed Annuity policy she purchased in February 2021 contains a longer surrender charge period than was originally understood and the information represented on her Client Profile is not accurate.