Articles Tagged with Newbridge Securities Corporation

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

FINRA BrokerCheck shows a final customer complaint on April 22, 2025.

Without admitting or denying the findings, Roth consented to the sanction and to the entry of findings that he borrowed $250,000 from a customer without disclosing the loan to his member firm or receiving its permission to accept it. The findings stated that when Roth joined a new firm, the customer opened accounts at the firm for which Roth was the registered representative. However, Roth did not disclose the loan to the firm at the time of his registration. Subsequently, Roth and the customer documented the loan in a promissory note and Roth ultimately repaid the loan in full. The findings also stated that Roth falsely attested in annual compliance questionnaires provided to one of the firms that he had not solicited or accepted a loan from a customer while associated with the firm.

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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 pending customer complaint with a damage request of $95,000.00 on April 22, 2025.

Breach of fiduciary duty and negligence.

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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 $50,000.01 on April 25, 2025.

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

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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 2 disclosable events. These events include 2 customer complaints, 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 $100,000.00 on May 02, 2025.

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

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Pamela Mcwhorter (Mcwhorter), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Mcwhorter 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 $750,000.00 on June 03, 2025.

Claimant asserts claims related to alleged misuse of margin.

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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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295 Madison Ave #705
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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