• Robert Rex, Esq.

Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL
Nick Giallourakis- Newbridge Securities Broker-Discloses Customer Disputes-Clearwater, FL 150 150 Robert Rex, Esq.

Updated: December 2023 Clearwater, Florida Newbridge Securities broker Nicholas M.  Giallourakis  discloses 4 prior final customer disputes on his FINRA records. In 10.2023 a customer of Newbridge Securities was paid $14,999…

read more
  • Robert Rex, Esq.

Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ
Gilford Ward Nergard- Former Raymond James Broker- Discloses Regulatory Event, Customer Disputes and a Termination From Employment – Phoenix, AZ 150 150 Robert Rex, Esq.

Guilford Nergard Investigaton November 2021- Phoenix, AZ According to publicly available records,  Guilford Nergard,  a currently unregistered  financial advisor who previously was employed by Raymond James discloses a regulatory event ,…

read more
  • Robert Rex, Esq.

Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA
Austin R. Dutton Jr.-Former Newbridge Securities Broker-Fined $200K-Settles 22 Customer Suits -Doylestown, PA 150 150 Robert Rex, Esq.

Austin Dutton Investigation November 2021–Doylestown, PA The FINRA records of  Austin R. Dutton, Jr. ,  a  stock broker who was previously employed by Newbridge Securities and who is currently employed by American…

read more
  • ER

Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY
Joseph Lianzo -Former SW Financial Broker-Suspended by FINRA-Melville, NY 150 150 ER

Joseph A. Lianzo Investigation November  2021 – Melville, NY According to publicly attained records, Joseph Lianzo, a stockbroker who is not currently registered  and who was last employed by SW Financial…

read more
  • Robert Rex, Esq.

Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products
Newbridge Securities Fined $499,000 For Failing to Supervise Sale of Structured Products 150 150 Robert Rex, Esq.

July 2021-Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. discloses 29 regulatory events on their publicly available FINRA record. Recent regulatory sanctions include: 9/2019-FINRA sanctioned Newbridge…

read more
  • Robert Rex, Esq.

Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI
Edward A. Klug-Concierge Wealth Management-Discloses Numerous Tax Liens-Appleton, WI 150 150 Robert Rex, Esq.

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…

read more
  • Robert Rex, Esq.

Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina
Dennis Hayes-Former Newbridge Securities Broker-Discloses Numerous Customer Suits-Charlotte, N. Carolina 150 150 Robert Rex, Esq.

March 2019- Charlotte, N. Carolina According to FINRA records,  Dennis Allen Hayes ,  a stock broker who  is not currently registered and who formerly worked for Newbridge Securities Corp. , discloses a pending regulatory investigaton, 2…

read more
  • Robert Rex, Esq.

Rex Securities Law Investment Fraud Attorney Investigates John Egan formerly with Newbridge Securities
Rex Securities Law Investment Fraud Attorney Investigates John Egan formerly with Newbridge Securities 150 150 Robert Rex, Esq.

Last Updated: November 2023 (Margate, Florida) John Egan Investigation Summary Here’s what you need to know about Margate, FL, stockbroker John E. Egan: Name: Mr. John Eugene Egan Current Employer:…

read more
  • Robert Rex, Esq.

Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL
Newbridge Securities Fined $499,000 by Securities Regulator Over Structured Products-Boca Raton, FL 150 150 Robert Rex, Esq.

August 2017- Boca Raton, FL Boca Raton, FL based brokerage firm Newbridge Securities Corp. was fined $499,000 by Pennsylvania Department of Banking and Securities for failure to supervise a broker…

read more
  • Robert Rex, Esq.

David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York
David G. Menashe-Former Joseph Stone Capital Broker-Sanctioned by Securities Regulator for Excessive Trading-New York 150 150 Robert Rex, Esq.

July 2017-New York The FINRA records of  David G. Menashe ,  a  stockbroker who is currently  employed by  Newbridge Securities Corp. , disclose a  prior regulatory event. The Financial Industry Regulatory Authority…

read more
Enter your
text here

You cannot copy content of this page