Last Updated: April 2025 (Deland, FLA)
Alex Maltez Investigation Summary
Here’s what you need to know about Deland, FLA, stockbroker Alexandre Maltez:
- Name: Mr. Alexandre Maltez
- Current Employer: Merrill Lynch Pierce Fenner & Smith
- Previous Firms: Newbridge Securities Corp., Newbridge Financial Services, Corecap Investments
- Function: Stock Broker/ Financial Advisor
- Aliases: Alex J. Maltez, Alexandre Jesus Maltez, Alex Maltez, Alexandre J. Maltez
- Primary Location: Deland, FLA
- CRD 6506116
- Can Alex Maltez be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlment or Award: $30,000
- Pending Customer Disputes: Yes, two seeking total damages of $170,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Alex Maltez As Your Stockbroker?
In 10/2024 a customer of Newbridge Securities was paid $30,000 to resolve allegations that Mltez made an unsuitable recommendation to invest in alternative investments.
There are curently two pending cases brought by customers of Newbridge Securities alleging negligence and violations of the Best Interest Rule in connection with investments in GWG bonds. Damages of $120,00 and $50,000 are sought.
How to recover losses on GWG Bonds-UPDATE
Overwhelmed by GWG Losses Some Broker Dealers Are Shutting Down
Allegations of Broker Misconduct Against Alex Maltez
A customer of Alex Maltez has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Violation of FINRA Rule 2210
- Fraud
- Breach of Fiduciary Duty
- Violations of the Best Interest Rule
FINRA Rule 2111- suitability -Regulation Best Interest
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
Investigations of other Newbridge Securities brokers
If you have suffered investment losses in an account handled by Alex Maltez, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.