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newbridge securities complaints

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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Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY

Stephen Sullivan-Former Newbridge Securities Broker-Subject of $500K Customer Suit-Melville, NY 150 150 Rex Securities Law

August 2018-Melville, New York According to FINRA records,  Stephen J. Sullivan,   a stockbroker who currently works for SW Financial (formerly Salomon Whitney Financial) ,   discloses  a prior regulatory event, a pending customer dispute, a…

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Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale

Walter Priebe-Former Investacorp Broker – Sanctioned by Securities Regulator-Ft. Lauderdale 150 150 Rex Securities Law

August19, 2015, Walter Paul Priebe , entered into a Letter of Acceptance, Waiver and Consent (AWC)  with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he acted in a fiduciary…

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Evan Kochav-Former World Equity Group Broker-Indicted

Evan Kochav-Former World Equity Group Broker-Indicted 150 150 Rex Securities Law

March 24, 2015-Trenton, New Jersey NJ.Com reports that Evan Kochav, 33, of Jersey City has been indicted and charged with stealing over $561K from clients of his investment firm and then…

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Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action

Newbridge Securities Agrees to Pay $850,000 in Inflated Postage Charge Class Action 150 150 Rex Securities Law

February 27, 2015- Ft. Lauderdale, FL The InvestmentNews reports that Newbridge Securities Corp. , which is headquartered in Ft. Lauderdale, Florida, has agreed to pay $850,000 to resolve a class action…

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Newbridge Securities Sanctioned by Securities Regulators Over Bond Transactions

Newbridge Securities Sanctioned by Securities Regulators Over Bond Transactions 150 150 Rex Securities Law

December 1, 2014- Boca Raton, FL Newbridge Securities Corporation entered into an agreement with the Financial Industry Regulatory Authority (FINRA) to resolve multiple compliance matters related to corporate bond transactions and customer…

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Dale Davenport Fined and Suspended by FINRA

Dale Davenport Fined and Suspended by FINRA 150 150 Robert H. Rex

By Robert H. Rex, Esq. In March 2014, FINRA fined Dale Wesley Davenport of Stuart, Florida, $7,500 and suspended him for six months for failing to report a tax lien filed…

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Newbridge Securities Censured/Fined by FINRA

Newbridge Securities Censured/Fined by FINRA 150 150 Rex Securities Law

Newbridge Securities Corporation, Ft. Lauderdale, FL was recently fined $32,500 and censured by FINRA for inadequate written supervisory procedures related to the review and approval of outgoing wires for customers…

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