Articles Tagged with Newbridge Securities Corporation

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Joseph Baldassarra (Baldassarra), previously associated with Newbridge Securities Corporation, has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Baldassarra  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $34,000.00 on July 19, 2021.

Claimant alleges:  excessive trading, unauthorized trading, unsuitability, breach of contract, breach of fiduciary duty, negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Andrew Corbman (Corbman), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Corbman 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 $240,000.00 on October 21, 2021.

Claimant alleges overconcentration, misrepresentation, and unsuitability related to the sale of REITs in 2014.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gerald Cocuzzo (Cocuzzo), previously associated with Newbridge Securities Corporation, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Cocuzzo recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on November 24, 2025.

Respondent Cocuzzo failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Boatright (Boatright), previously associated with Newbridge Securities Corporation, has at least 3 disclosable events. These events include one customer complaint, 2 regulatory events, alleging that Boatright recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on July 22, 2024.

Respondent Boatright failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Whitaker 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 $375,000.00 on November 18, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, VIOLATION OF FEDERAL SECURITIES LAWS, MISREPRESENTATIONS, FAILURE TO SUPERVISE.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dean Nowak (Nowak), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Nowak 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 $651,709.00 on November 20, 2025.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Donoso (Donoso), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Donoso 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 $250,000.00 on December 09, 2021.

Claimant alleges that their registered representative recommended unsuitable investments

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Michael Whitaker (Whitaker), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Whitaker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on October 23, 2025.

Respondent Whitaker failed to respond to FINRA requests for information.

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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.

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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.

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