Securities Lawyers Blog
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