Advisor Alert: Our Attorneys Are Investigating Alan Henry Birkley For Investment Fraud
Did You Lose Money Because of Alan Birkley?
Filed: March 4, 2024
Alan Birkley has been the subject of one (1) regulatory event, one (1) termination event, and four (4) customer complaints. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Alan Henry Birkley.
Who Is Alan Henry Birkley of Newbridge Securities Corporation?
- Advisor Name: Alan Henry Birkley
- Aliases: Alan Birkley
- CRD: 829088
- Location: Boca Raton, Florida
- Current Employer: Newbridge Securities Corporation
- Previous Firms: Chicago Investment Group, LLC, Peregrine Financials & Securities, Inc., and D H Brush & Associates, Inc.
- Number of Known Customer Complaints: 4
- Number of Known Regulatory Events: 1
- Number of Known Termination Events: 1
- Can Alan Birkley Be Sued: Yes, in Private Arbitration
- Can Alan Birkley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $100,001
- Highest Settlement: $21,000
If you have suffered investment losses by Alan Birkley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Alan Birkley For Broker Misconduct
As of this publication date, Alan Birkley has been the subject of 1 regulatory event, 1 termination event, and 4 customer disputes. Let’s review them below.
In June 2022, a FINRA arbitration was filed against or in reference to Alan Birkley by a customer of Newbridge Securities Corporation alleging fraud, negligence, breach of fiduciary duty, and breach of contract. Per the customer, he lost over $100,001 because of Mr. Birkley’s actions.
In May 1997, a complaint was filed against or in reference to Alan Birkley by a customer alleging excessive trading of account and alleged damages. Per the customer, he/she lost over $43,000 because of Mr. Birkley’s actions. On September 5, 1997, Mr. Birkley settled the claim for $17,000, and some or all of this amount may have been paid by Mr. Birkley’s employer and/or insurance carrier.
In May 1994, a complaint was filed against or in reference to Alan Birkley by a customer of The Prudential Insurance Company of America alleging that trading in account was unsuitable, excessive, and unauthorized. Per the customer, he/she lost over $32,000 because of Mr. Birkley’s actions. On October 18, 1994, Mr. Birkley settled the claim for $21,000, and some or all of this amount may have been paid by Mr. Birkley’s employer and/or insurance carrier.
In October 1992, CBOE initiated a regulatory action against or in reference to Alan Birkley for not following the original letter stating Birkley’s position.
In June 1988, a complaint was filed against or in reference to Alan Birkley by a customer of Cowen & Co. alleging that the client authorized option trading in his account of $5,000.and Mr. Birkley exceeded that amount by $5,000. Per the customer, he lost over $14,150 because of Mr. Birkley’s actions. On September 1, 1989, Mr. Birkley settled the claim for $10,500, and some or all of this amount may have been paid by Mr. Birkley’s employer and/or insurance carrier.
In November 1987, A.G. Edwards & Sons, Inc. terminated Alan Birkley for allegedly fraudulently, maliciously, willfully & illegally endorsing the $2,000 check Edgar wrote to purchase on Mons & used the funds for his own use; they also alleged unauthorized trades claimed $1,500.
How To File A Claim Against Alan Birkley of Newbridge Securities Corporation (previously with Chicago Investment Group, LLC, Peregrine Financials & Securities, Inc., and D H Brush & Associates, Inc.) To Get Your Money Back
If you have questions about Alan Birkley, Newbridge Securities Corporation, Chicago Investment Group, LLC, Peregrine Financials & Securities, Inc., D H Brush & Associates, Inc., or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.