#newbridge securities finra problem

[rexsecuritieslaw]

Dean Nowak- Former Newbridge Securities Broker -Has Multiple Pending Customer Disputes- Winter Park, FL

Dean Nowak Investigation March 2023- Winter Park, FL According to publicly available records Dean Nowak, a broker previously employed by  Newbridge Securities Corporation,  discloses 5 pending customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…

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Megurditch "Mike" Patatian -Former Western International Securities Broker- Allegedly Sold Unsuitable REITs- Westlake Village, CA

Megurditch “Mike” Patatian -Former Western International Securities Broker- Allegedly Sold Unsuitable REITs- Westlake Village, CA

Megurditch “Mike” Patatian Investigation November 2021- Westlake Village, CA According to publicly available records,  Mike Patatian a former broker who was last employed by Western International Securities, Inc. discloses a pending regulatory event , 9 prior customer disputes and 3 terminations from employment. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

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Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial ,  discloses 2 prior regulatory matters, 2 prior customer disputes and 3 pending judgements/liens. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

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Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY

August 2018-Melville, New York

According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a prior customer dispute and 3 currently pending judgment/liens.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates…

[rexsecuritieslaw]

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL

August 2017- Boca Raton, FL

Boca Raton, FL based brokerage firm Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department of Banking and Securities for failure to supervise a broker in connection with the sale of structured products to Pennsylvania residents.

According to the Consent Agreement and Order, from January 2012-December 2016, Newbridgedid not maintain a reasonable system…

[rexsecuritieslaw]

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL

August 2017- Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department of Banking and Securities for failure to supervise a broker in connection with the sale of structured products to Pennsylvania residents. According to the Consent Agreement and Order, from January 2012-December 2016, Newbridge did not maintain a reasonable…

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David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

July 2017-New York

The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as…

[rexsecuritieslaw]

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as…

[rexsecuritieslaw]

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL

May 2017-Boca Raton, FL The FINRA records of  Dominic J. Linsalata Jr.  ,  a  stockbroker who is currently registered with Newbridge Securities disclose a customer dispute that was settled. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and…

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Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI

August 2018-Appleton, WI

The FINRA records of  Edward A. Klug,  a  former stock broker who was last employed by Newbridge Securities ,  disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report…

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Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

May 2018- Charlotte, N. Carolina

According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses 3 pending and 2 prior final customer disputes and a termination from employment.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and…

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Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL

Brian Berger-Former Newbridge Securities Broker-Sentenced for Fraud-Boca Raton, FL

April 2018-Boca Raton, FL The FINRA records of former stockbroker Brian M. Berger disclose a pending regulatory matter and two prior regulatory matters, a criminal conviction, 4 customer disputes and a termination from employment. In 7/2015 Berger  entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he…

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Matt S. Neas Investigation-Former Newbridge Securities Broker-Austin, TX

Matt S. Neas Investigation-Former Newbridge Securities Broker-Austin, TX

February 2018-Austin, TX According to publicly available records Matt S. Neas  , (CRD# 2863660) ,  a  former stockbroker who last worked for Newbridge Securities Corp. was recently permanently barred from the securities industry by FINRA. The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and…

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Investigation of Former National Securities Corp Broker Marshall Isaacson-Boca Raton, FL

Investigation of Former National Securities Corp Broker Marshall Isaacson-Boca Raton, FL

April 2017- Boca Raton, FL The FINRA records of  Marshall O. Isaacson ,  a  stockbroker who formerly was employed by  National Securities Corp.  disclose 2 pending  customer disputes, a prior financial event and 2 currently pending judgment/liens . The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers…

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Newbridge Securities Sanctioned by Securities Regulators Over Bond Transactions

Newbridge Securities Sanctioned by Securities Regulators Over Bond Transactions

December 1, 2014- Boca Raton, FL

Newbridge Securities Corporation entered into an agreement with the Financial Industry Regulatory Authority (FINRA) to resolve multiple compliance matters related to corporate bond transactions and customer trading activity. Case 20090198779-01.

As is typically the case, Newbridge neither admits or denies the facts and agreed to the following:

Censure

A fine of…