Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaspar Garcia (Garcia), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Garcia recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on June 09, 2022.
Negligence, Breach of Fiduciary Duty, Negligent Supervision, Fraud