William Sidney Friedman of Boca Raton Florida a stockbroker formerly registered with Newbridge Securities Corporation is referenced in a customer initiated investment related arbitration claim which settled for $10,000.00 in damages supported by accusations that Friedman (1) engaged in inappropriate equity trading in the customer’s account (2) breached his fiduciary duties to the customer (3) and effected unauthorized trades of equity and debt instruments including mutual funds and stock. Financial Industry Regulatory Authority (FINRA) Arbitration No. 15-02209 (Feb. 8, 2016).
FINRA Public Disclosure additionally reveals that on July 2, 2004, a customer filed an investment related complaint regarding Friedman’s conduct in which the customer requested more than $5,000.00 in damages founded on allegations that Friedman effected equities transactions in the customer’s account that were not suitable for the customer while Friedman was employed by Raymond James Financial Services, Inc.
On November 1, 2017, Friedman’s registration with Newbridge Securities Corporation was terminated. Since October 27, 2017, Friedman has been registered with Woodstock Financial Group, Inc.
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