June 10, 2015
Newbridge Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did not provide for supervision reasonably designed to achieve compliance with respect to certain securities laws and regulations and the rules of the Municipal Securities Rulemaking Board (MSRB).
Newbridge Securities was censured and fined $22,500.
Disciplinary Proceeding NO. 20140416215-1
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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TollFree: 877-224-3199
Florida-561 391 1900
Texas-512-329-2870
