Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Moy (Moy), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Moy 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 $100,000.00 on December 13, 2022.
Breach of Fiduciary Duty, Negligence, Negligent Supervision, Fraud, Breach of Contract