Newbridge Securities Corporation Tag Archives

Broker John Zaffarano in Newbridge Securities Corporation Firm Has Customer Complaint

November 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Zaffarano (Zaffarano), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zaffarano 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 $185,000.00 on April 21, 2022.

Negligence, Breach of Fiduciary Duty, Breach of Contract, Negligent Supervision, Violation of Securities Laws, and Fraud.

Broker Peter Goffin in Newbridge Securities Corporation Firm Has Customer Complaint

November 22, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on September 10, 2025.

Clients have asserted that they suffered financial losses related to investment recommendations.

Broker John Forrester in Newbridge Securities Corporation Firm Has Customer Complaint

November 21, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $100,000.00 on September 23, 2025.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentation, violation of federal securities laws, and violation of reg bi.

There are Recent Customer Complaints with Broker Robert Bragg in Firm Newbridge Securities Corporation

November 16, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on June 10, 2022.

Negligence, Unsuitable Recommendations, Negligent Supervision, Fraud, Violation of FINRA Rule 2210.

Broker Kyle Corgan in Newbridge Securities Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kyle Corgan (Corgan), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Corgan 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 June 07, 2022.

Negligence, Breach of Fiduciary Duty, Negligent Supervision

Broker Gaspar Garcia in Newbridge Securities Corporation Firm Has Customer Complaint

November 16, 2025 | by Staff Attorney

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

There are Recent Customer Complaints with Broker Nicholas Giallourakis in Firm Newbridge Securities Corporation

November 13, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on July 05, 2022.

Suitability, Breach of Fiduciary Duty, Failure to Supervise, Breach of Contract, Fraud and Violation of FINRA Rule 2210.

There are Recent Customer Complaints with Broker John Moy in Firm Newbridge Securities Corporation

November 2, 2025 | by Staff Attorney

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

Broker James Cox in Newbridge Securities Corporation Firm Has Customer Complaint

October 14, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $250,295.17 on July 17, 2025.

COMPLAINANT ALLEGES REP MADE NEGLIGENT MISREPRESENTATIONS AND BREACHED FIDUCIARY DUTIES IN THE SALE OF CDS.

There are Recent Customer Complaints with Broker Scott Brooks in Firm Newbridge Securities Corporation

October 11, 2025 | by Staff Attorney

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $150,000.00 on August 14, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATION, VIOLATION OF FEDERAL SECURITIES LAWS, AND VIOLATION OF REG BI.