Tag Archives: David Howard Fagenson

FINRA Bars Newbridge Stockbroker In Elder Abuse Investigation

June 23, 2020  |   Posted by :   |   Elder Financial Abuse, Securities Arbitration Claims   |   Comments Off on FINRA Bars Newbridge Stockbroker In Elder Abuse Investigation

David Howard Fagenson of Boca Raton Florida a stockbroker formerly employed by Newbridge Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that he failed to cooperate with FINRA’s requests for his information. Case No. 2018057351801 (Jan 27, 2020). According to FINRA Public […]

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UBS Financial Services Sued for Unauthorized Trading

David Howard Fagenson, of Palm Beach, Florida, a stockbroker formerly registered with UBS Financial Services Inc., has been named in a customer initiated investment related written complaint on September 26, 2016, based upon allegations that from 2013 to 2016, Fagenson effected unauthorized trades in the customer’s account and failed to abide by the customer’s instructions […]

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