Articles Tagged with Newbridge Securities Corporation

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Rodger Thomas (Thomas), currently associated with Newbridge Securities Corporation, has at least 2 disclosable events. These events include 2 customer complaints, alleging that Thomas 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 $500,000.00 on August 20, 2025.

RECOMMENDATION OF UNSUITABLE INVESTMENTS IN A NUMBER OF ALTERNATIVE INVESTMENTS BETWEEN DECEMBER 2016 AND AUGUST 2018

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

FINRA BrokerCheck shows a pending customer complaint on August 26, 2025.

THE COMPLAINANT ALLEGES THAT IN/OR AROUND 2017, THEY HAVE REASON TO BELIEVE THEIR REGISTERED REPRESENTATIVE WAS USING PART OF THEIR BROKERAGE INVESTMENT DOLLARS TO OPEN LIFE INSURANCE POLICIES, AND PULL THE CASH VALUE, WHEN NEEDED, TO RETURN TO THE REGISTERED REPRESENTATIVES CUSTOMERS. THE COMPLAINANT SAYS FALSE EMAIL AND MAILING ADDRESSES WERE ASSOCIATED WITH THE APPLICATIONS.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hulick (Hulick), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Hulick 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 $500,000.00 on August 25, 2025.

Failure to supervise alleged unsuitable investment recommendation in a closed end income fund.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Peter Radvanyi (Radvanyi), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Radvanyi 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 $180,000.00 on November 30, 2022.

Breach of Fiduciary Duty, Breach of Contract,  Suitability , failure to  Supervise, Violation of the Federal Securities Law, Violation of FINRA Rules 2210,IM 2310-20and 2020.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lewis Stein (Stein), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Stein 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 February 15, 2023.

Breach of Fiduciary Duty, Negligence

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Elaine Zito (Zito), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Zito 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 $325,000.00 on July 23, 2025.

Breach of contract; breach of fiduciary duty; negligence; and violations of state and federal securities rules and laws.

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Ivan Gefen (Gefen), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Gefen 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 $1,200,000.00 on May 17, 2023.

BREACH OF FIDUCIARY DUTY, NEGLIGENCE, FRAUD, BREACH OF CONTRACT, AND VIOLATION OF REGULATION BI

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

FINRA BrokerCheck shows a settled customer complaint on July 15, 2023.

Complainants expressed concerns regarding life insurance policies and signature, e-mail and information discrepancies found in their customer account forms beginning in or around 2020.

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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 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 $500,000.00 on July 02, 2025.

BREACH OF CONTRACT, BREACH OF FIDUCIARY DUTY, FAILURE TO SUPERVISE, NEGLIGENCE, MISREPRESENTATIONS/OMISSIONS, VIOLATIONS OF STATE AND FEDERAL SECURITIES LAWS AND REGULATIONS.

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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 3 disclosable events. These events include 3 customer complaints, alleging that Whitaker recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on June 18, 2025.

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

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