Brian Roth

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Brian Roth (Roth), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one regulatory event, alleging that Roth recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on April 22, 2025.

Without admitting or denying the findings, Roth consented to the sanction and to the entry of findings that he borrowed $250,000 from a customer without disclosing the loan to his member firm or receiving its permission to accept it. The findings stated that when Roth joined a new firm, the customer opened accounts at the firm for which Roth was the registered representative. However, Roth did not disclose the loan to the firm at the time of his registration. Subsequently, Roth and the customer documented the loan in a promissory note and Roth ultimately repaid the loan in full. The findings also stated that Roth falsely attested in annual compliance questionnaires provided to one of the firms that he had not solicited or accepted a loan from a customer while associated with the firm.

Advisor Brian Roth (Roth), currently employed by brokerage firm Newbridge Securities Corporation (Newbridge Securities) has been subject to at least nine disclosures including four customer complaints, one regulatory action, and four judgement or liens. According to a BrokerCheck report some of the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real estate investment trusts (REITs), oil & gas programs, annuities, and private placements. The attorneys at Gana Weinstein LLP have represented hundreds of investors who suffered losses caused by these types of high risk, low reward products and have recovered in excess of $50 million in investor losses.

In June 2022 a customer complained that Roth violated the securities laws by alleging that Roth made recommendations that violated rules such as suitability, negligence, fraud, failure to supervise, violation FINRA rule 2010, and breach of contract. The claim is currently pending and the investor seeks $1,500,000 in damages.

In April 2020 a customer complained that Roth violated the securities laws by alleging that Roth made recommendations that violated rules such as breach of fiduciary duty, negligence, failure to supervise, violation FINRA rules, and breach of contract. The claim is currently settled for $100,000.

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