Brian Robert Roth of Morristown, NJ, a stockbroker registered with Newbridge Securities Corporation, is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,500,000.00 in damages based upon allegations that Roth made misrepresentations and omissions of material fact and failed to supervise certain registered representatives in connection with the recommendation and sale of direct investments during the time that Roth was associated with Newbridge Securities Corporation. Financial Industry Regulatory Authority (FINRA) Arbitration No. 22-01343 (November 15, 2022).
FINRA Public Disclosure shows that Roth has been referenced in three other customer initiated investment related disputes concerning Roth’s conduct while associated with securities broker dealers. On August 29, 2013, a FINRA securities arbitration claim involving Roth’s conduct was settled for $85,000.00 in damages based upon allegations that Roth engaged in unauthorized trading in stocks and over-the-counter equities and churned the customer’s accounts when Roth was associated with the now barred John Thomas Financial. FINRA Arbitration No. 11-04490.
On June 1, 2020, a different FINRA securities arbitration claim involving Roth’s conduct was settled for $100,000.00 in damages based upon allegations that Roth breached his fiduciary duties, violated FINRA rules, breached a contract, was negligent, and negligently supervised certain representatives in connection with the recommendation and sale of direct investments when Roth was associated with International Assets Advisory LLC. FINRA Arbitration No. 20-01172.
On September 14, 2018, Roth was suspended from associating with any FINRA member in any capacity because Roth failed to comply with an arbitration award or settlement agreement or otherwise confirm compliance with FINRA Arbitration No. 13-00041. The claim was settled for $125,000.00 in damages on June 16, 2014, based upon allegations that Roth engaged in unauthorized and excessive trading and made misrepresentations of material fact in connection with the sale of investments at John Thomas Financial.
Roth was associated with International Assets Investment Management LLC in Orlando, FL, as an investment advisor representative from April of 2018 to August of 2018, and associated with Aeon Capital Inc. in New York, NY, as a stockbroker from October of 2018 to December of 2018.
Roth has been associated with Newbridge Securities Corporation in Morristown, NJ, as a stockbroker since December 19, 2018, and associated with Newbridge Financial Services Group Inc. in Morristown, NJ, as an investment advisor representative since February 20, 2019.
