August 2018-Appleton, WI
The FINRA records of Edward A. Klug, a former stock broker who was last employed by Newbridge Securities , disclose 4 prior customer disputes, and 5 currently outstanding judgment/liens.
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.
Klug discloses the following outstanding tax liens:
- Wisconsin Department of Revenue-$141,711
- IRS-$482,714
- IRS-$44,229
- IRS-$6,695
- IRS-$44,636
Klug was employed by Newbridge Securities from 5/2016-5/2018. Prior employments include Investacorp and SII Investments. He does business as Concierge Wealth Management in Appleton, WI.
If you have losses in an account handled by Edward Klug call for a no charge consultation to discuss your legal options for recovery.
Rex Securities Law , with offices in Boca Raton, FL, and Austin, TX, provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.
Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
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