Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker James Williams (Williams), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Williams 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 $90,000.00 on August 21, 2023.
BREACH OF CONTRACT, VIOLATION OF STATE SECURITIES STATUTES, BREACH OF FIDUCIARY DUTY, CLAIMS UNDER COMMON LAW.