John Zaffarano Investigation March 2023- Boca Raton, FL According to publicly available records, John Zaffarano an Newbridge Securities Corporation broker discloses a currently pending customer dispute. The Financial Industry Regulatory…
read moreDaniel Lerner Energy 11, Energy Resources 12, Spirit of America Energy Fund Investigation September 2022-Lawrenceville, NJ The FINRA records of Daniel Lerner, son of David Lerner and a broker with…
read moreKennister Daley Investigation September 2022- Boynton Beach, FL According to publicly available records, Kennister U. Daley, an Allstate Financial Services broker discloses a currently pending customer dispute. The Financial Industry…
read moreBetsy Whipple Newbridge Securities Investigation Hiko, Nevada According to publicly available records Betsy Lou Whipple, a broker who works for Newbridge Securities Corp. , discloses that a customer is seeking damages…
read moreDonnie Ingram Investigation September 2022-Winter Haven, FL According to publicly available records Donnie E. Ingram, (CRD# 1416971) , a stockbroker who previously worked for Centaurus Financial Inc. , disclose 9 prior customer disputes…
read moreRobert C. Bragg Investigation Monument, Colorado According to publicly available records Robert Charles Bragg, a broker who works for Newbridge Securities, discloses a pending customer dispute and a prior regulatory matter.…
read moreNeal Nakagiri Investigation August 2022-Burbank, CA The FINRA records of Neal Nakagiri, a broker formerly with NPB Financial Group where he was also President/ CEO, discloses a 5 prior customer disputes…
read moreLeFranc J. Joseph Energy 11, Energy Resources 12 Investigation August 2022-Lawrenceville, NJ The FINRA records of LeFranc Junior Joseph, a broker with David Lerner Associates , discloses a pending customer dispute.…
read morePatrick Chitwood Investigation August 2022-Birmingham, AL The FINRA records of Patrick Rankin Chitwood , owner of Chitwood Advisory Group and Chitwood Wealth Management, a stockbroker who was formerly employed by Arkadios Capital disclose a…
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