Articles Tagged with Newbridge Securities Corporation

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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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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.

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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.

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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

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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

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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.

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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

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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.

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#1
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