Did you suffer investment losses with Newbridge Securities Corporation (CRD# 104065) (SEC# 8-52538)?
Galvin Legal, PLLC is launching an investigation on behalf of investors who may have suffered losses investing with Newbridge Securities Corporation. If you suffered losses investing with Newbridge Securities Corporation, then Galvin Legal, PLLC may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
As of May 5, 2020, Newbridge Securities Corporation’s FINRA BrokerCheck Report contains the following:
29 Regulatory Event Disclosures
4 Arbitration Disclosures
UPDATE 4/6/2020: Newbridge Securities Corporation is listed as a sales compensation recipient for GPB Capital Holdings private placements. Bad news continues to pile up for investors of GPB Capital Holdings private placements. If you are concerned about investment losses in a GPB Capital Holdings private placement with Newbridge Securities Corporation and would like a Free Consultation, then please contact us today.
Main Office Location
1200 NORTH FEDERAL HIGHWAY
SUITE 400
BOCA RATON, FL 33432
UNITED STATES
Mailing Address
1200 NORTH FEDERAL HIGHWAY
SUITE 400
BOCA RATON, FL 33432
UNITED STATES
Business Telephone Number
954-334-3450
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Newbridge Securities Corporation’s Direct Owners and Executive Officers
NEWBRIDGE FINANCIAL INC., OWNER
ABRAMS, GENE ROBERT (CRD#:1018250), CHIEF COMPLIANCE OFFICER/ GENERAL COUNSEL/COMPLIANCE OFFICER/MANAGING DIRECTOR OF INVESTMENT BANKING
BUDDIE, GIOVINA ANN (CRD#:1997691), FINOP/COO/ TREASURER/PRINCIPAL OPERATIONS OFFICER
CASOLARO, THOMAS JOSEPH (CRD#:1812805), CEO
LEVIN, ALAN BRUCE (CRD#:3073530), DIRECTOR OF ACCOUNTING & FINANCE
SOKOLOW, LEONARD JAY (CRD#:4315011), CHAIRMAN
WEEKS, ROBERT SCOTT (CRD#:2610371), CHIEF FINANCIAL OFFICER / PRINCIPAL FINANCIAL OFFICER
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Due Diligence Requirement
FINRA requires broker-dealers to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. FINRA Rule 2111(a) states that “a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer’s investment profile. A customer’s investment profile includes, but is not limited to, the customer’s age, other investments, financial situation and needs, tax status, investment objectives, investment experience, investment time horizon, liquidity needs, risk tolerance, and any other information the customer may disclose to the member or associated person in connection with such recommendation.”
Rule 2111 is composed of three main obligations: reasonable-basis suitability, customer-specific suitability, and quantitative suitability. Broker-Dealers that fail to conduct adequate due diligence on investments they recommend or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
Request a Free Consultation with a Securities Attorney
If you suffered losses investing with Newbridge Securities Corporation and would like a free consultation with a securities attorney, then please call Galvin Legal, PLLC at 1-800-405-5117.
This information is all publicly available and is being provided to you by Galvin Legal, PLLC.
Galvin Legal, PLLC is a national securities arbitration, securities mediation, securities litigation, securities fraud, securities regulation and compliance, and investor protection law practice. For more information on Galvin Legal, PLLC and its representation of investors, please visit www.galvinlegal.com or call 1-800-405-5117.
Formerly Known As, Aliases, and Affiliates
LUDWIG INVESTMENTS, INC., LUDWIG INVESTMENTS, INC.
