Did You Lose Money Because of John Moy?

Filed: March 19, 2024

John Moy has been the subject of four (4) customer complaints and two (2) termination events. 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 John Kirkland Moy.

Who Is John Kirkland Moy of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.?

• Advisor Name: John Kirkland Moy
• Aliases: John Moy
• CRD: 848350
• Location: Baltimore, Maryland
• Current Employer: Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.
• Previous Firms: International Asset Advisory, LLC, National Asset Management, Inc., and National Securities Corporation
• Number of Known Customer Complaints: 4
• Number of Known Termination Events: 2
• Can John Moy Be Sued: Yes, in Private Arbitration
• Can John Moy’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $65,000

If you have suffered investment losses by John Moy, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise 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 John Moy For Broker Misconduct

As of this publication date, John Moy has been the subject of 4 customer disputes and 2 termination events. Let’s review them below.

In December 2022, a FINRA arbitration was filed against or in reference to John Moy by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, negligence, negligent supervision, fraud, and breach of contract. Per the customer, he/she lost over $100,000 because of Mr. Moy’s actions. On February 29, 2024, Mr. Moy settled the claim for $30,000, and some or all of this amount may have been paid by Mr. Moy’s employer and/or insurance carrier.

In September 2019, a FINRA arbitration was filed against or in reference to John Moy by a customer of National Securities Corp alleging suitability. Per the customer, he/she lost over $45,000 because of Mr. Moy’s actions. On March 23, 2022, Mr. Moy settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Moy’s employer and/or insurance carrier.

In April 2019, National Securities Corp terminated John Moy for violation of firm policies and procedures associated with the recommendation of variable annuity liquidations.

In March 2018, Morgan Stanley Wealth Management terminated John Moy after allegations regarding his transition from another Firm, including client allegations involving the opening of accounts.

In May 2017, a FINRA arbitration was filed against or in reference to John Moy by multiple customers of Merrill Lynch, Pierce, Fenner & Smith Incorporated alleging unsuitable investment recommendations in 2015. Per the customer, he/she lost over $145,000 because of Mr. Moy’s actions. On November 15, 2017, Mr. Moy settled the claim for $65,000, and some or all of this amount may have been paid by Mr. Moy’s employer and/or insurance carrier.

In April 1993, a NASD arbitration was filed against or in reference to John Moy by a customer of Shearson Lehman Brothers Inc. alleging negligence, fraud, breach of fiduciary duty, negligent supervision and violation of federal and state laws regarding the customer’s account. Per the customer, he/she lost over $1,500,000 because of Mr. Moy’s actions. An arbitration panel found that John Moy was negligent and awarded $32,809 in favor of the customers.

How To File A Claim Against John Moy of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc. (previously with International Asset Advisory, LLC, National Asset Management, Inc., and National Securities Corporation) To Get Your Money Back

If you have questions about John Moy, Newbridge Securities Corporation, Newbridge Financial Services Group, Inc., International Asset Advisory, LLC, National Asset Management, Inc., National Securities Corporation, 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.