Rex Securities Law
July 24, 2021
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g July 24, 2021 July 24, 2021

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…

Rex Securities Law
August 18, 2018
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 18, 2018 August 18, 2018

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…

Rex Securities Law
August 24, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g August 24, 2015 April 8, 2016

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…

Rex Securities Law
March 25, 2015
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Evan Kochav-Former World Equity Group Broker-Indicted

Evan Kochav-Former World Equity Group Broker-Indicted https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g March 25, 2015 March 25, 2016

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…

Rex Securities Law
February 27, 2015
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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 https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g February 27, 2015 May 5, 2016

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…

Rex Securities Law
December 3, 2014
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Newbridge Securities Sanctioned by Securities Regulators Over Bond Transactions

Newbridge Securities Sanctioned by Securities Regulators Over Bond Transactions https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g December 3, 2014 December 3, 2014

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…

Robert H. Rex
March 19, 2014
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Dale Davenport Fined and Suspended by FINRA

Dale Davenport Fined and Suspended by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Robert H. Rex Robert H. Rex https://secure.gravatar.com/avatar/63d95f80eb91915bb42dfbaade95e4ca?s=96&d=mm&r=g March 19, 2014 December 26, 2014

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…

Rex Securities Law
January 2, 2014
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Newbridge Securities Censured/Fined by FINRA

Newbridge Securities Censured/Fined by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g January 2, 2014 December 26, 2014

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…

Rex Securities Law
September 8, 2013
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Newbridge Broker Anthony Mediate Churns Account/Trades Without Permission-Sanctioned by FINRA

Newbridge Broker Anthony Mediate Churns Account/Trades Without Permission-Sanctioned by FINRA https://blog.rexsecuritieslaw.com/wp-content/themes/movedo/images/empty/thumbnail.jpg 150 150 Rex Securities Law Rex Securities Law https://secure.gravatar.com/avatar/fdf83cd1ed57a0f07270ad756fbea2eb?s=96&d=mm&r=g September 8, 2013 February 13, 2015

Red Bank, New Jersey The Financial Industry Regulatory Authority (FINRA) is the largest independent regulator for all securities firms doing business in the United States. FINRA’s chief role is to protect investors…

newbridge securities complaints