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 customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Between 4/2020 through 1/2023, 5 FINRA arbitrations were filed by customers of Newbridge Securities Corporation and Taylor Capital Management alleging, among other things:
- Common law fraud
- Elder abuse
- Breach of fiduciary duty
- Negligence
- Breach of contract
- Failure to Supervise
- Misrepresentations and omissions
The alleged damages in these cases are $665,000 and the cases are all still pending.
Nowak was employed with Newbridge Securities Corporation from 8/2019 until 9/2022. Before that time he was with Taylor Capital Management, Inc., Questar Capital Corporation, and Summit Brokerage Services, Inc.
If you have suffered losses in an account handled by Dean Nowak, contact us for a no charge consultation to learn how you may be able to recover damages through FINRA arbitration.
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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