Tag Archives: Newbridge Securities Corp.

FINRA Bars Another Newbridge Stockbroker In Investigation

February 01, 2021  |   Posted by :   |   Boilerroom Sales, Customer Loans, Investment and Regulatory News, Non-traded REITs   |   Comments Off on FINRA Bars Another Newbridge Stockbroker In Investigation

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Newbridge Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he failed to cooperate with FINRA during the period that he was investigated for borrowing from Newbridge customers. Letter of Acceptance […]

Read More »

Investors File Arbitration Claim Against PHX Financial

February 01, 2021  |   Posted by :   |   Churning, Excessive Trading, FINRA Securities Arbitration, Investment and Regulatory News   |   Comments Off on Investors File Arbitration Claim Against PHX Financial

Solomon David Krispeal (also known as David Krispeal) of Hauppauge New York a stockbroker formerly registered with PHX Financial Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested $650,000.00 in damages supported by allegations of unsuitable options, stock and over-the-counter equities being sold to the customer by […]

Read More »