Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records, Guilford Nergard, a currently unregistered financial advisor who previously was employed by Raymond James discloses a regulatory event ,…
read moreAustin Dutton Investigation November 2021–Doylestown, PA The FINRA records of Austin R. Dutton, Jr. , a stock broker who was previously employed by Newbridge Securities and who is currently employed by American…
read moreJoseph 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…
read moreJuly 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…
read moreAugust 2020- Boca Raton, FL According to publicly available records, former Newbridge Securities Corporation, financial advisor Marshall Isaacson, is barred from FINRA and discloses 4 customer disputes. The Financial Industry Regulatory…
read moreJanuary 2020 – San Diego, CA The FINRA records of of Martin David Batstone , a suspended stockbroker who was last employed by Newbridge Securities, disclose 2 regulatory events and 6 prior customer…
read moreJune 2019, Red Bank, NJ According to publicly available records Andre Pierre Davis (CRD#1417097) , a stockbroker who is not currently registered and who was last registered with First Standard Financial…
read moreAugust 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…
read moreAugust 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…
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