THOMAS LE is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 9280 W STOCKTON BLVD, SUITE 200, ELK GROVE, CA, 95758-8073.

THOMAS LE has worked at NYLIFE SECURITIES LLC since January 22, 2014

Disclosure History

THOMAS LE has 3 Disclosure Event(s).

Date: February 25, 2010
Category: Financial
Type: Bankruptcy
Disposition: Discharged
Broker Comment: N/A

Date: January 19, 1999
Category: Criminal
Disposition: Pled guilty

Date: June 23, 1998
Category: Criminal
Disposition: Pled guilty

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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