Newbridge Securities Corporation Tag Archives

Broker Marshall Isaacson in Newbridge Securities Corporation Firm Has Customer Complaint

April 16, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Marshall Isaacson (Isaacson), previously associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include one customer complaint, one regulatory event, alleging that Isaacson 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 $75,000.00 on January 13, 2021.

Breach of fiduciary duty, breach of contract and negligence

There are Recent Customer Complaints with Broker Dean Nowak in Firm Newbridge Securities Corporation

April 13, 2026 | by Staff Attorney

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 settled customer complaint on November 24, 2025.

Client expressed concerns relating to the performance of certain investments she purchased.

Broker Charles Cobb in Newbridge Securities Corporation Firm Has Customer Complaint

April 12, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Charles Cobb (Cobb), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Cobb 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 $36,000.00 on January 05, 2026.

Customer alleges that registered representative made an unsuitable investment recommendation, and that she purchased an unsuitable security on the basis of that recommendation.

Broker Gregory Mcleod in Newbridge Securities Corporation Firm Has Customer Complaint

April 5, 2026 | by Staff Attorney

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 one disclosable event. These events include one customer complaint, alleging that Mcleod 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 $177,000.00 on February 10, 2026.

Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentations, violation of finra rules, violation of the state and federal securities laws.

Broker Howard Leon in Newbridge Securities Corporation Firm Has Customer Complaint

March 28, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Leon (Leon), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Leon 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 September 24, 2020.

Suitability

Broker Jeffrey Broten in Newbridge Securities Corporation Firm Has Customer Complaint

March 26, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a final customer complaint on October 13, 2020.

Without admitting or denying the findings, Broten consented to the sanction and to the entry of findings that he refused to provide on-the-record testimony requested by FINRA in connection with its investigation into his potentially unsuitable and unauthorized trading while associated with a member firm.

Broker Eric James in Newbridge Securities Corporation Firm Has Customer Complaint

March 7, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on April 07, 2021.

Suitability

Broker Varshil Sanghavi in Newbridge Securities Corporation Firm Has Customer Complaint

March 6, 2026 | by Staff Attorney

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

FINRA BrokerCheck shows a settled customer complaint on November 14, 2025.

Client has asserted that they suffered financial losses related to investment recommendations.

There are Recent Customer Complaints with Broker Howard Yeager in Firm Newbridge Securities Corporation

February 23, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Howard Yeager (Yeager), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Yeager 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 $300,000.00 on April 08, 2021.

Claimant alleges: negligence, breach of fiduciary duty

Broker Christopher Chancellor in Newbridge Securities Corporation Firm Has Customer Complaint

February 11, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Chancellor (Chancellor), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Chancellor 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 $125,000.00 on July 01, 2021.

Respondents made unsuitable recommendations to Claimant.