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Newbridge Securities complaint

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Rex Securities Law

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 ,…

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Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA

Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA 150 150 Rex Securities Law

Austin 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…

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Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph 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…

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Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Rex Securities Law

July 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…

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Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI 150 150 Rex Securities Law

August 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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Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Rex Securities Law

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

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John E. Egan-Newbridge Securities Broker-Subject of Customer Dispute Alleging Unsuitable Investments-Boca Raton, FL

John E. Egan-Newbridge Securities Broker-Subject of Customer Dispute Alleging Unsuitable Investments-Boca Raton, FL 150 150 Rex Securities Law

April 2018 -Boca Raton, FL According to FINRA records, John Eugene Egan ,  a   stockbroker who is currently employed by Newbridge Securities Corp., disclose  a prior regulatory event, a pending customer dispute…

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Felipe Arrieta-Former Revere Securities Broker-Discloses Customer Disputes-Boca Raton, FL

Felipe Arrieta-Former Revere Securities Broker-Discloses Customer Disputes-Boca Raton, FL 150 150 Rex Securities Law

February 2018- Boca Raton, FL Felipe Arrieta, a stockbroker who is currently employed by Dakota Securities International and was formerly employed by Revere Securities,  discloses 3 prior final and 1 pending customer disputes…

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Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL 150 150 Rex Securities Law

August 2017- Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department of Banking and Securities for failure to supervise a broker…

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