Nylife Securities LLC

There are Recent Customer Complaints with Broker Theodore Hawrylak in Firm Nylife Securities LLC

October 5, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Theodore Hawrylak (Hawrylak), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hawrylak 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 $5,896.32 on October 25, 2022.

Customer alleges that she would not have purchased a Variable Annuity in February 2021 if she had been aware of the surrender period and surrender charge. Customer seeks a refund of premiums paid without surrender charges.

Broker Adam Herzing in Nylife Securities LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 02, 2022.

Customer alleges that she was promised the funds from the sale of her stock would be secure and not at risk. Customer has requested the reversal of a variable annuity purchased on 12/30/2021.

Broker Anthony Cipolla in Nylife Securities LLC Firm Has Customer Complaint

October 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Anthony Cipolla (Cipolla), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cipolla 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 $270,618.00 on November 01, 2022.

Client alleges that investment account was not managed in the way it was agreed upon.

There are Recent Customer Complaints with Broker Nicholas Paolicelli in Firm Nylife Securities LLC

October 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Nicholas Paolicelli (Paolicelli), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Paolicelli 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 $8,304.25 on November 09, 2022.

The customer alleges, due to misinformation provided by the RR, she only became aware after making a partial withdrawal from her variable annuity policy in August 2022, that it would result in a taxable event. The customer has requested that the transaction be reversed and the money returned to the policy to avoid taxes, penalties and surrender charges.

There are Recent Customer Complaints with Broker Margarita Flores in Firm Nylife Securities LLC

October 1, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Margarita Flores (Flores), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Flores 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 $100,000.00 on November 28, 2022.

Customer alleges that he was not informed of fees, taxes and charges related to his additional investment into an existing variable universal insurance policy in November 2022. Customer has requested the cancellation of the additional investment and the return of his funds without penalty or fees.

There are Recent Customer Complaints with Broker Chuling Hsiao in Firm Nylife Securities LLC

September 19, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Chuling Hsiao (Hsiao), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Hsiao 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 $56,496.27 on February 22, 2023.

The policyowner alleges that he unknowingly entered into two variable annuity contracts in December 2021 with an eight year surrender charge period with funds from his matured fixed annuity policy. The customer wants to cancel both of the variable annuity policies free of surrender fees.

Broker Christopher Mccarthy in Nylife Securities LLC Firm Has Customer Complaint

September 14, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Mccarthy (Mccarthy), currently associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Mccarthy 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 $5,421.28 on March 28, 2023.

The policyowner alleges that the RR did not fully inform her of the product features and charges associated with variable annuity policies purchased in December 2022 and February 2023, respectively, and that the policies do not suit her needs. The policyowner has requested to terminate the variable annuity policies with no surrender charges or costs.

Broker Robert Crocker in Nylife Securities LLC Firm Has Customer Complaint

September 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on March 28, 2023.

Customer alleges that in March 2021, she was misled into purchasing a variable annuity and a variable universal life policy which are inappropriate for her needs.

Broker Thomas Tippmann in Nylife Securities LLC Firm Has Customer Complaint

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Tippmann (Tippmann), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Tippmann 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 $3,860.59 on April 03, 2023.

The customer alleges she did not sign the policy illustration revision or policy delivery receipt for her whole life insurance policy that she purchased in or around February 2019.

There are Recent Customer Complaints with Broker Justin Valenti in Firm Nylife Securities LLC

September 12, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Justin Valenti (Valenti), previously associated with Nylife Securities LLC, has at least one disclosable event. These events include one customer complaint, alleging that Valenti 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 $3,860.59 on April 03, 2023.

The customer alleges he did not sign the revised policy illustration document or policy delivery receipt for his whole life insurance policy he purchased in or around November 2018.