Tag Archives: Newbridge Securities Corporation

Another First Standard Stockbroker Barred In Boilerroom Scam

November 04, 2020  |   Posted by :   |   Boilerroom Sales, Securities Arbitration Claims   |   Comments Off on Another First Standard Stockbroker Barred In Boilerroom Scam

Jeffrey Allan Broten of Red Bank New Jersey a stockbroker formerly registered with First Standard Financial Company LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that he failed to cooperate with the regulator during the time that he was under investigation for potentially […]

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More Investor Claims Against Shuttered Boilerroom First Standard Securities

October 08, 2020  |   Posted by :   |   Boilerroom Sales, Securities Arbitration Claims, Securities Fraud, Unauthorized Trading   |   Comments Off on More Investor Claims Against Shuttered Boilerroom First Standard Securities

Jeffrey Allan Broten of Morristown New Jersey a stockbroker formerly registered with First Standard Financial Co. LLC and National Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $100,000.00 in damages based upon allegations that over-the-counter equities transactions effected in the customer’s account by the stockbroker failed […]

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Newbridge Securities Corp Sued By Investors For Negligence

August 27, 2020  |   Posted by :   |   Alternative Investments, Securities Arbitration Claims   |   Comments Off on Newbridge Securities Corp Sued By Investors For Negligence

Gaetano Magarelli (also known as Guy Magarelli) of Boca Raton Florida a stockbroker formerly registered with Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $130,000.00 in damages based upon accusations that contractual obligations to the customer were breached and that the customer’s losses were attributed […]

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Investors Bring Claims Against Newbridge Securities For Negligence

July 29, 2020  |   Posted by :   |   Securities Arbitration Claims, Stockbroker Negligence, Unsuitable Investment Recommendations   |   Comments Off on Investors Bring Claims Against Newbridge Securities For Negligence

Travis Justin Lippmann of New York New York a stockbroker formerly registered with Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim which was settled for $55,000.00 in damages based upon allegations that the customer’s losses had been caused by negligence and the breach of a fiduciary by Lippmann in […]

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Another Newbridge Stockbroker Barred By FINRA In Investigation

July 29, 2020  |   Posted by :   |   Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Another Newbridge Stockbroker Barred By FINRA In Investigation

Marshall Owen Isaacson of Boca Raton Florida a stockbroker formerly associated with Newbridge Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Isaacson failed to cooperate with FINRA’s investigation into allegations that he provided unsuitable investment advice to customers. Letter of Acceptance […]

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Investors Bring Arbitration Claims Against Oppenheimer

July 29, 2020  |   Posted by :   |   Alternative Investments, Securities Arbitration Claims   |   Comments Off on Investors Bring Arbitration Claims Against Oppenheimer

Michael Robert Greenfield of Boca Raton Florida a stockbroker formerly associated with Oppenheimer Co. Inc. has been referenced in a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages supported by allegations of the violation of FINRA rules by Greenfield concerning oil and gas master limited partnership transactions that were […]

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Investors Sue Money Concepts Capital Corp For Fraud

July 20, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Non-traded REITs, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Investors Sue Money Concepts Capital Corp For Fraud

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Money Concepts Capital Corp is the subject of a customer initiated investment related arbitration claim in which the customer requested unspecified damages based upon allegations that securities laws of the State of Illinois were violated in regard to Shafer’s securities transactions and that the […]

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Aegis Sued By Investors For Defective Investment Advice

July 20, 2020  |   Posted by :   |   Alternative Investments, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Aegis Sued By Investors For Defective Investment Advice

Kevin Thomas Doyle of Mineola New York a stockbroker formerly associated with Aegis Capital Corp and Newbridge Securities Corp has been referenced in a customer initiated investment related arbitration claim in which the customer requested $125,000.00 in damages supported by allegations that alternative investment recommendations made by Doyle had failed to be suitable as they […]

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Investors Sue First Standard Financial For Breach Of Contract

July 11, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Securities Arbitration Claims, Stockbroker Negligence, Unauthorized Trading   |   Comments Off on Investors Sue First Standard Financial For Breach Of Contract

Jeffrey Allen Baber of Red Bank New Jersey a stockbroker and investment adviser representative formerly registered with First Standard Financial Company is the subject of a customer initiated investment related arbitration claim in which the customer requested unspecified damages based upon allegations that unsuitable equities transactions had been executed by Baber at First Standard Financial […]

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Newbridge Securities Sued By Investors For Negligence

June 24, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Newbridge Securities Sued By Investors For Negligence

Lawrence Michael LaBine (also known as Larry LaBine) of Scottsdale Arizona a stockbroker formerly registered with Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $99,000.00 in damages based upon accusations of the stockbroker’s negligence with regard to alternative investments sold to the Newbridge Securities Corporation […]

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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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FINRA Bars Newbridge Stockbroker In Fraud Investigation

April 08, 2020  |   Posted by :   |   Boilerroom Sales, Breach of Fiduciary Duty, Securities Arbitration Claims, Securities Fraud   |   Comments Off on FINRA Bars Newbridge Stockbroker In Fraud Investigation

Glen Derek Delaney of New York New York a stockbroker formerly registered with Newbridge Securities Corporation has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that the stockbroker failed to respond to FINRA’s request for information about his activities. FINRA Case No. 2017054192101 (Feb. 11, […]

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Newbridge Sued By Investors For Breach of Fiduciary Duty

April 08, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Newbridge Sued By Investors For Breach of Fiduciary Duty

Anil Ishwar Jethmal of Boca Raton Florida a stockbroker registered with Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim which was settled for $14,999.00 in damages based upon accusations of (1) negligence concerning stock trades effected in the customer’s Newbridge Securities Corporation account (2) breach of a fiduciary duty […]

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Defunct TCM Securities Stockbroker Accused Of Misrepresentation

Dean Robert Nowak of Winter Park Florida a stockbroker formerly registered with TCM Securities Inc. is the subject of a customer initiated investment related complaint on April 22, 2019 where the customer sought $66,666.67 in damages based upon accusations of misrepresentations and omissions of investment information being made by the stockbroker when advising the customer […]

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Investors Sue Kovack Securities For Failure To Supervise

Andrew Scott Corbman of Lansdowne Virginia a stockbroker employed by Kovack Securities Inc. has been referenced in a customer initiated investment related arbitration claim which has been resolved for $80,000.00 in damages founded on accusations that (1) common or preferred equity stock transactions failed to be adequately supervised by the securities broker dealer (2) transactions […]

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Investors Sue Defunct First Standard For Unauthorized Trading

Jeffrey Allen Baber of Red Bank New Jersey a stockbroker formerly registered with First Standard Financial Company LLC is the subject of a customer initiated investment related arbitration claim in which the customer requested $2,000,000.00 in damages founded on allegations that (1) trades were executed by the stockbroker without the customer’s knowledge or consent and […]

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Investors Sue Newbridge Securities Corp For Negligence

John Gerard Forrester Jr. of Boca Raton Florida a stockbroker currently registered with Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer sought $55,000.00 in damages supported by allegations that (1) the customer’s account was handled in a negligent manner (2) contractual obligations had been breached and […]

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National Securities Sued For Breach Of Contract

Marshall Owen Isaacson of Boca Raton Florida a stockbroker formerly registered with National Securities Corporation and Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim where the customer requested unspecified damages based upon accusations that (1) contractual obligations had not been complied with by the stockbroker (2) fiduciary duties were […]

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Investors Sue Newbridge For Alternative Investment Fraud

David Francis Faline of St. Augustine Florida a stockbroker formerly employed by Newbridge Securities Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested more than $5,000.00 in damages based upon allegations that (1) the customer’s investments were overconcentrated in alternative investments and common and preferred stocks and […]

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Investors Sue Joseph Stone Capital For Excessive Trading

David Gene Menashe of Mineola New York a stockbroker formerly employed by Joseph Stone Capital LLC is referenced in a customer initiated investment related arbitration claim in which the customer requested $50,000.00 in damages based upon accusations that (1) fiduciary duties were breached (2) the customer’s account was administered negligently (3) misrepresentations had been made […]

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Newbridge Sanctioned By FINRA For Failure To Supervise

Newbridge Securities Corporation a securities broker dealer headquartered in Boca Raton Florida, and Bruce H. Jordan (Director of Investment Banking), have been censured by Financial Industry Regulatory Authority (FINRA) based upon findings that (1) Newbridge failed to supervise structured products sold to customers of the firm (2) Newbridge failed to supervise non-traditional exchange traded fund […]

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IFG Stockbroker Charged By FINRA With Conversion

Martin David Batstone (also known as Marty Batstone) of San Diego California a stockbroker formerly registered with Independent Financial Group has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Batstone converted a customer’s funds and engaged in securities transactions away from the securities broker dealer. Department of […]

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Investors Sue SW Financial For Churning

Dimitrios Aivaliotis (also known as Jim Aivaliotis and as Jimmy Aivaliotis) of Melville New York a stockbroker formerly registered with SW Financial is referenced in a customer initiated investment related arbitration claim which was resolved for $14,999.00 in damages supported by allegations that (1) trades were effected without authorization (2) contractual obligations had been violated […]

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NSC Terminates Stockbroker For Providing Bad Investment Advice

John Kirkland Moy of Boca Raton Florida a stockbroker formerly employed by National Securities Corporation has been terminated from the securities broker dealer on April 5, 2019 based upon allegations of Moy giving bad advice to customers concerning the liquidation of their accounts. This is not the first time that Moy has been terminated from […]

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Independent Financial Stockbroker Investigated By FINRA

Martin David Batstone (also known as Marty David Batstone) of San Diego California a stockbroker formerly employed by Independent Financial Group is the subject of a Financial Industry Regulatory Authority (FINRA) Investigation in which the regulator determined that disciplinary action should be taken by FINRA Department of Enforcement against the stockbroker founded on allegations of […]

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Newbridge Stockbroker Barred By SEC For Fraud

October 14, 2019  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News   |   0 Comments

Gerald John Cocuzzo (also known as Gerry Cocuzzo and as Jerry Cocuzzo) of Boca Raton Florida a stockbroker formerly employed by Newbridge Securities Corporation has been barred from being a stockbroker or investment advisor representative or otherwise associating with securities broker dealers or investment advisories according to a Securities and Exchange Commission (SEC) Order containing […]

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Investors Sue Newbridge Securities For Excessive Trading

Stephen James Sullivan of New York New York a stockbroker employed by Newbridge Securities Corporation is referenced in a customer initiated investment related arbitration claim in which the customer sought $540,618.00 in damages founded on allegations that (1) trades had been executed in the customer’s account in excessive amounts (2) transactions were not suitable for […]

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Newbridge Stockbroker Barred By SEC For Fraud

Brian Michael Berger of Boca Raton Florida a stockbroker formerly registered with Newbridge Securities Corporation has been barred from being a stockbroker or investment advisor or otherwise associating with securities broker dealers or investment advisors according to a Securities and Exchange Commission (SEC) Initial Decision of Default containing findings that Berger defrauded investors. In the […]

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Newbridge Stockbroker Barred For Selling Away

Dennis Allen Hayes 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 according to a FINRA Office of Hearing Officers Order Accepting Offer of Settlement containing findings that (1) Hayes engaged in private securities transactions while […]

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Dawson James Sued By Investors For Churning

Dominic Joseph Linsalata Jr. of Boca Raton Florida a stockbroker formerly registered with Dawson James Securities Inc. is referenced in a customer initiated investment related arbitration claim in which the customer sought $80,013.13 in damages supported by accusations that (1) misrepresentations had been made to the customer concerning equity investments and (2) excessive equity trades […]

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