fbpx

newbridge securities finra problem

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…

read more

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…

read more

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Rex Securities Law

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

read more

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL

Dominic J. Linsalata-Newbridge Securities Broker-Discloses Settlement of Customer Dispute-Boca Raton, FL 150 150 Rex Securities Law

May 2017-Boca Raton, FL The FINRA records of  Dominic J. Linsalata Jr.  ,  a  stockbroker who is currently registered with Newbridge Securities disclose a customer dispute that was settled. The Financial Industry Regulatory Authority…

read more

Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations

Brent Porges-Former Meyers Assoc. Broker-Discloses Customer Disputes & Regulatory Investigations 150 150 Rex Securities Law

August 2016- New York The FINRA records of  Brent Porges,  a  former stock broker who is currently not licensed   disclose  a currently pending regulatory matter, a prior regulatory matter, 4 prior customer disputes, a currently…

read more

Gerald Cocuzzo-Former Newbridge Securities Broker-Indicted For Securities Fraud

Gerald Cocuzzo-Former Newbridge Securities Broker-Indicted For Securities Fraud 150 150 Rex Securities Law

May 2016-Boca Raton, FL UPDATE NOVEMBER 2016-Gerald Cocuzzo pleads guilty to securities fraud. Link to US Attorneys office press release.  The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and…

read more

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL

Brian Berger Facing Wire Fraud Charges-Coral Springs, FL 150 150 Rex Securities Law

April 2018 UPDATE-Berger pleads guilty. See this for details. UPDATE October 2016-BRIAN BERGER FACES WIRE FRAUD CHARGES. The Sun Sentinel reports that Brian M. Berger, 39, of Coral Springs, pleaded…

read more

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…

read more

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…

read more