February 18, 2016- Boca Raton, FL Rex Securities Law is investigating broker Michael B. Stern, who until January 2016 was registered with H.J. Sims & Co. From 2/2004-8/2013 he was registered with Newbridge…
read moreClearwater, Florida Former VSR Financial Services broker Nicholas M. Giallourakis discloses 3 prior final customer disputes on his FINRA records. According to FINRA records in 2013 Giallourakis was named in a FINRA arbitration (#13-1526) by a customer…
read moreApril 2018 Update-Berger pleads guilty to fraud. July 30, 2015 Brian Michael Berger of Fort Lauderdale, FL, entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry…
read moreJune 10, 2015 Newbridge Securities entered into a Letter of Acceptance Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that the firm’s supervisory system did…
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