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

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 Regulatory Authority (FINRA) to resolve allegations that he  failed to cooperated with a FINRA investigation into allegations that Berger had misappropriated funds from elderly customers while registered with Wells Fargo Advisors and MetLife Securities.

AWC NO. 2015045725201

Berger  was barred from the securities industry.   According to FINRA records he was registered as follows:

  • Newbridge Securities                            4/2015-6/2015
  • MetLife Securities                                    7/2014-4/2015
  • Wells Fargo Advisors                             7/2010-7/2014

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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