Articles Tagged with Newbridge Securities Corporation

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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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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 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 $76,000.00 on June 21, 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 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 pending customer complaint with a damage request of $50,000.00 on July 19, 2024.

Breach of contract, breach of fiduciary duty, violation state securities statues, and vicarious liability.

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

FINRA BrokerCheck shows a final customer complaint on August 01, 2024.

Respondent Magarelli 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 Zeshan Panjwani (Panjwani), previously associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Panjwani 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 $85,000.00  on August 06, 2024.

Breach of fiduciary duty, breach of contract and negligence, negligent supervision.

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New York, NY 10017
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#100
Chicago, IL 60613
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#1
Montclair, NJ 07042
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