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Newbridge Securities problem

Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL
Rex Securities Law Investigates Former HJ SIms/ Newbridge Securities Broker Michael Stern- Boca Raton, FL 150 150 Rex Securities Law

February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was  registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…

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Nick Giallourakis- Former VSR Financial Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Former VSR Financial Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Rex Securities Law

Clearwater, Florida Former VSR Financial Services broker Nicholas M.  Giallourakis  discloses 3 prior final customer disputes on his FINRA records. According to FINRA records in 2013 Giallourakis was named in a FINRA arbitration (#13-1526) by a customer…

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Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry
Brian Berger-Fort Lauderdale Stockbroker Fails to Cooperate with Investigation Alleging Theft from Elderly Client-Is Barred from Industry 150 150 Rex Securities Law

April 2018 Update-Berger pleads guilty to fraud.  July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…

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Newbridge Securities Fined by Regulators for Supervision Deficiencies
Newbridge Securities Fined by Regulators for Supervision Deficiencies 150 150 Rex Securities Law

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…

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