Articles Tagged with Newbridge Securities Corporation

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

FINRA BrokerCheck shows a pending customer complaint on July 26, 2023.

CLAIMANT CLAIMS LOSS DUE TO MISREPRESENTATIONS AND UNSUITABLE INVESTMENT RECOMMENDATIONS

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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.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Lourdin (Lourdin), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Lourdin 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 $58,000.00 on August 31, 2023.

SUITABILITY, FAILURE TO SUPERVISE AND NEGLIGENCE.

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

FINRA BrokerCheck shows a settled customer complaint on November 08, 2023.

BREACH OF FIDUCIARY DUTY, SUITABILITY, MISREPRESENTATIONS, BREACH OF CONTRACT, NEGLIGENCE AND FAILURE TO SUPERVISE.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Mitchell Biernick (Biernick), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Biernick 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 $201,226.63 on December 11, 2023.

Individual claims they had no knowledge that they were in a Variable Annuity for the last 7 Years. They thought it was fixed. Individual wrote a letter and signed off stating they were aware they were entering into a variable annuity and understand the risk. Individual was never a customer of the firm.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Paul Battson (Battson), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Battson 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 $45,000.00 on June 21, 2023.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD & 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 $50,000.00 on March 28, 2025.

Breach of fiduciary duty, negligence, and negligent supervision.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gregory Mcleod (Mcleod), currently associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Mcleod 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 $50,000.00 on April 15, 2024.

Breach of fiduciary duty, negligence and reg bi.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Dustin Shafer (Shafer), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Shafer 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 $50,000.01 on April 22, 2024.

Claimant is alleging unsuitable recommendations and misrepresentation.

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

FINRA BrokerCheck shows a pending customer complaint on May 28, 2024.

Breach of fiduciary duty, breach of contract, failure to supervise, negligence reg bi.

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New York, NY 10017
Toll Free: 800-810-4262
3706 N Greenview Ave
#100
Chicago, IL 60613
28 Valley Rd
#1
Montclair, NJ 07042
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