Securities Lawyers Blog
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.