Category: Newbridge Securities Corporation

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.

Did You Lose Money Because of Peter Radvanyi?

Filed: March 21, 2024

Peter Radvanyi has been the subject of one (1) customer complaint. 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 Peter Alan Radvanyi.

Who Is Peter Alan Radvanyi?

• Advisor Name: Peter Alan Radvanyi
• Aliases: Peter Radvanyi
• CRD: 3129076
• Location: Reston, Virginia
• Current Employer: Currently Not Registered
• Previous Firms: Newbridge Securities Corporation, Gunnallen Financial, Inc., and Brookstreet Securities Corporation
• Number of Known Customer Complaints: 1
• Can Peter Radvanyi Be Sued: Yes, in Private Arbitration
• Can Peter Radvanyi’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $180,000
• Highest Settlement: $135,000

If you have suffered investment losses by Peter Radvanyi, 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 Peter Radvanyi For Broker Misconduct

As of this publication date, Peter Radvanyi has been the subject of 1 customer dispute. Let’s review it below.

In November 2022, a FINRA arbitration was filed against or in reference to Peter Radvanyi by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, breach of contract, suitability , failure to supervise, violation of the Federal Securities Law, Violation of FINRA Rules 2210, IM 2310-20 and 2020. Per the customer, he/she lost over $180,000 because of Mr. Radvanyi’s actions. On October 13, 2023, Mr. Radvanyi settled the claim for $135,000, and some or all of this amount may have been paid by Mr. Radvanyi’s employer and/or insurance carrier.

How To File A Claim Against Peter Radvanyi (previously with Newbridge Securities Corporation, Gunnallen Financial, Inc., and Brookstreet Securities Corporation) To Get Your Money Back

If you have questions about Peter Radvanyi, Newbridge Securities Corporation, Gunnallen Financial, Inc., Brookstreet 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.

Did You Lose Money Because of Antoine Shamlee?

Filed: March 15, 2024

Antoine Shamlee (also known as Devon Shamlee) has been the subject of two (2) 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 Antoine Devon Shamlee.

Who Is Antoine Devon Shamlee?

• Advisor Name: Antoine Devon Shamlee
• Aliases: Antoine Shamlee, Devon Shamlee
• CRD: 4750442
• Location: Boca Raton, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Newbridge Securities Corporation, Caldwell International Securities, and Meyers Associates, L.P.
• Number of Known Customer Complaints: 2
• Can Antoine Shamlee Be Sued: Yes, in Private Arbitration
• Can Antoine Shamlee’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $224,462
• Highest Settlement: $150,000

If you have suffered investment losses by Antoine Shamlee, 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 Antoine Shamlee For Broker Misconduct

As of this publication date, Antoine Shamlee has been the subject of 2 customer disputes. Let’s review them below.

In January 2023, a FINRA arbitration was filed against or in reference to Antoine Shamlee by a customer of Newbridge Securities Corporation alleging failure to supervise and respondeat superior, negligence, breach of contract, and violation of industry rules. Per the customer, he/she lost over $224,462 because of Mr. Shamlee’s actions. On September 29, 2023, Mr. Shamlee settled the claim for $150,000, and some or all of this amount may have been paid by Mr. Shamlee’s employer and/or insurance carrier.

In December 2006, a NASD arbitration was filed against or in reference to Antoine Shamlee by a customer of S.W. Bach alleging unauthorized trades in Apple computers and related options transactions from November 14, 2006 to December 21, 2006. Per the customer, he/she lost over $30,000 because of Mr. Shamlee’s actions. On October 15, 2009, Mr. Shamlee settled the claim for $14,000.

How To File A Claim Against Antoine Shamlee (previously with Newbridge Securities Corporation, Caldwell International Securities, and Meyers Associates, L.P.) To Get Your Money Back

If you have questions about Antoine Shamlee, Newbridge Securities Corporation, Caldwell International Securities, Meyers Associates, L.P., 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.

Did You Lose Money Because of Donald Johns III?

Filed: March 12, 2024

Donald Johns III has been the subject of one (1) customer complaint and two (2) judgment/lien 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 Donald Blatch Johns III.

Who Is Donald Blatch Johns III of Newbridge Securities Corporation?

• Advisor Name: Donald Blatch Johns III
• Aliases: Donald Blatch Johns
• CRD: 4566047
• Location: Boca Raton, Florida
• Current Employer: Newbridge Securities Corporation
• Previous Firms: SW Financial, Arive Capital Markets, and Westpark Capital, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Judgment/Lien Events: 2
• Can Donald Johns III Be Sued: Yes, in Private Arbitration
• Can Donald Johns III’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $160,000
• Highest Settlement: $41,250

If you have suffered investment losses by Donald Johns III, 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 Donald Johns III For Broker Misconduct

As of this publication date, Donald Johns III has been the subject of 1 customer dispute and 2 judgment/lien events. Let’s review them below.

In December 2023, Donald Johns was the subject of a civil judgment or lien in the amount of $30,212. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In April 2016, Donald Johns was the subject of a civil judgment or lien in the amount of $21,455.82. In general, judgment liens are court rulings that give a creditor the right to take possession of a debtor’s property when the debtor has failed to fulfill his or her contractual obligations. Sometimes, these types of disclosures reflect IRS judgments, tax liens, and/or civil judgments against a financial advisor.

In December 2012, a FINRA arbitration was filed against or in reference to Donald Johns III by a customer of Moloney Securities Co., Inc. alleging unsuitable recommendations, excessive trading, negligent misrepresentations and breach of fiduciary duty all resulting in losses in 2011. Per the customer, he/she lost over $160,000 because of Mr. Johns’s actions. On October 18, 2013, Mr. Johns settled the claim for $41,250, and some or all of this amount may have been paid by Mr. Johns’s employer and/or insurance carrier.

How To File A Claim Against Donald Johns III of Newbridge Securities Corporation (previously with SW Financial, Arive Capital Markets, and Westpark Capital, Inc.) To Get Your Money Back

If you have questions about Donald Johns III, Newbridge Securities Corporation, SW Financial, Arive Capital Markets, Westpark Capital, 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.

Did You Lose Money Because of Greg McLeod?

Filed: March 4, 2024

Gregory McLeod (also known as Greg McLeod) has been the subject of three (3) customer complaints and one (1) criminal event. 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 Gregory Malcom McLeod.

Who Is Gregory Malcom McLeod of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.?

• Advisor Name: Gregory Malcom McLeod
• Aliases: Greg McLeod
• CRD: 2741097
• Location: Boca Raton, Florida
• Current Employer: Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.
• Previous Firms: Preferred Securities Group, Inc. and Southern Financial Group, Inc.
• Number of Known Customer Complaints: 3
• Number of Known Criminal Events: 1
• Can Gregory McLeod Be Sued: Yes, in Private Arbitration
• Can Gregory McLeod’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $85,000
• Highest Settlement: $24,999

If you have suffered investment losses by Gregory McLeod, 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 Greg McLeod For Broker Misconduct

As of this publication date, Gregory McLeod has been the subject of 3 customer disputes and 1 criminal event. Let’s review them below.

In May 2023, a FINRA arbitration was filed against or in reference to Gregory McLeod by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, negligence, fraud, and breach of contract. Per the customer, he/she lost over $45,000 because of Mr. McLeod’s actions. On January 3, 2024, Mr. McLeod settled the claim for $14,999, and some or all of this amount may have been paid by Mr. McLeod’s employer and/or insurance carrier.

In October 2022, a FINRA arbitration was filed against or in reference to Gregory McLeod by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty and negligence. Per the customer, he/she lost over $50,000 because of Mr. McLeod’s actions. On September 10, 2023, Mr. McLeod settled the claim for $14,999.

In July 2022, a FINRA arbitration was filed against or in reference to Gregory McLeod by a customer of Newbridge Securities Corporation alleging suitability, breach of fiduciary duty, failure to supervise, breach of contract, fraud, and violation of FINRA rule 2210. Per the customer, he/she lost over $85,000 because of Mr. McLeod’s actions. On September 25, 2023, Mr. McLeod settled the claim for $24,999, and some or all of this amount may have been paid by Mr. McLeod’s employer and/or insurance carrier.

In January 1992, misdemeanor charges were pressed against McLeod in NASD. Mr. McLeod paid $500.00 in fines

How To File A Claim Against Greg McLeod of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc. (previously with Preferred Securities Group, Inc. and Southern Financial Group, Inc.) To Get Your Money Back

If you have questions about Greg McLeod, Newbridge Securities Corporation, Newbridge Financial Services Group, Inc., Preferred Securities Group, Inc., Southern Financial Group, 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.

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.

Did You Lose Money Because of Nick Owoyemi?

Filed: March 4, 2024

Nicholas Owoyemi (also known as Nick Owoyemi) has been the subject of one (1) customer complaint 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 Nicholas Adelani Owoyemi.

Who Is Nicholas Adelani Owoyemi of Newbridge Securities Corporation?

• Advisor Name: Nicholas Adelani Owoyemi
• Aliases: Nick Owoyemi
• CRD: 1822177
• Location: New York, New York
• Current Employer: Newbridge Securities Corporation
• Previous R.M. Stark & Co., Inc., Merrimac Corporate Securities, Inc., and Wallstreet*E Financial Services, Inc.
• Number of Known Customer Complaints: 1
• Number of Known Termination Events: 2
• Can Nicholas Owoyemi Be Sued: Yes, in Private Arbitration
• Can Nicholas Owoyemi’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $191,000
• Highest Settlement: $55,000

If you have suffered investment losses by Nicholas Owoyemi, 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 Nick Owoyemi For Broker Misconduct

As of this publication date, Nicholas Owoyemi has been the subject of 1 customer dispute and 2 termination events. Let’s review them below.

In September 2015, a FINRA arbitration was filed against or in reference to Nicholas Owoyemi by a customer of R.M. Stark & Co., Inc. alleging that Mr. Owoyemi’s improper use of discretion, failure to follow instructions, and purchase of unsuitable securities. Per the customer, he/she lost over $191,000 because of Mr. Owoyemi’s actions. On February 22, 2017, Mr. Owoyemi settled the claim for $55,000, and some or all of this amount may have been paid by Mr. Owoyemi’s employer and/or insurance carrier.

In June 2012, Nicholas Owoyemi resigned from Merrimac Corporate Securities, Inc. after submitting paperwork to this firm that was different from the original documents he provided to an insurance company. The compliance officer’s identification of this discrepancy led to an internal investigation which uncovered some similar instances which were a violation of firm policy and possibly of finra rules 2120 and 2110. The firm fined the representative and offered him the opportunity to attempt to continue on probationary status under heightened supervision.

In November 2009, Merrimac Corporate Securities, Inc. terminated Nicholas Owoyemi for violating firm policy by submitting a pre-signed, incomplete photocopy document and by not obtaining clients initials on new information added to the document as well as incorrectly marking 3 transactions as unsolicited when in fact they were solicited.

How To File A Claim Against Nick Owoyemi of Newbridge Securities Corporation (previously with R.M. Stark & Co., Inc., Merrimac Corporate Securities, Inc., and Wallstreet*E Financial Services, Inc.) To Get Your Money Back

If you have questions about Nicholas Owoyemi, Newbridge Securities Corporation, R.M. Stark & Co., Inc., Merrimac Corporate Securities, Inc., Wallstreet*E Financial Services, 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.

Did You Lose Money Because of Ivan Gefen?

Filed: February 27, 2024

Ivan Gefen currently has one (1) pending customer complaint. Overall, he has been the subject of eleven (11) customer complaints and one (1) financial event. 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 Ivan Richard Gefen.

Who Is Ivan Richard Gefen of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.?

• Advisor Name: Ivan Richard Gefen
• Aliases: Ivan Gefen
• CRD: 1229418
• Location: Boca Raton, Florida
• Current Employer: Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.
• Previous Firms: Morgan Stanley and National Asset Management, Inc.
• Number of Known Customer Complaints: 11
• Number of Known Financial Events: 1
• Can Ivan Gefen Be Sued: Yes, in Private Arbitration
• Can Ivan Gefen’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $400,100

If you have suffered investment losses by Ivan Gefen, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stock market losses 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 Ivan Gefen For Broker Misconduct

As of this publication date, Ivan Gefen has been the subject of 11 customer disputes and 1 financial event. Let’s review them below.

In May 2023, a FINRA arbitration was filed against or in reference to Ivan Gefen by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, negligence, fraud, breach of contract, and violation of regulation BI. Per the customer, he/she lost over $1,200,000 because of Mr. Gefen’s actions. As of this publication date, this claim remains pending.

In March 2019, Ivan Gefen filed for bankruptcy in the Federal Court of Southern Florida.

In July 2017, a FINRA arbitration was filed against or in reference to Ivan Gefen by a customer of Morgan Stanley Smith Barney alleging unsuitability, inter alia, with respect to investments. Per the customer, he/she lost over $1,500,000 because of Mr. Gefen’s actions. On May 25, 2018, Mr. Gefen settled the claim for $295,000, and some or all of this amount may have been paid by Mr. Gefen’s employer and/or insurance carrier.

In March 2015, a FINRA arbitration was filed against or in reference to Ivan Gefen by a customer of Morgan Stanley Smith Barney alleging unauthorized trade. On July 1, 2015, Mr. Gefen settled the claim for $10,000, and some or all of this amount may have been paid by Mr. Gefen’s employer and/or insurance carrier.

In March 2009, a complaint was filed against or in reference to Ivan Gefen by a customer of VFinance Investments, Inc. alleging unsuitable investments. Per the customer, he/she lost over $39,073 because of Mr. Gefen’s actions.

In March 2008, a complaint was filed against or in reference to Ivan Gefen by a customer of VFinance Investments, Inc. alleging fraud and that Mr. Gefen materially overstated performance returns. Per the customer, he/she lost over $25,000 because of Mr. Gefen’s actions.

In February 2008, a complaint was filed against or in reference to Ivan Gefen by a customer of VFinance Investments, Inc. alleging unauthorized trading; churning. Per the customer, he/she lost over $7,073.86 because of Mr. Gefen’s actions.

In April 2000, a complaint was filed against or in reference to Ivan Gefen by a customer of First Miami Securities alleging that an investment in the Putnam High Income Government Trust made 15 years ago was unsuitable. Additional allegations include fraud, negligence, and breach of fiduciary duty. Per the customer, she lost over $52,937 because of Mr. Gefen’s actions.

In September 1998, a NASD arbitration was filed against or in reference to Ivan Gefen by a customer of Prudential Securities, Inc. alleging excessive and unsuitable trading. Per the customer, he/she lost over $601,983 because of Mr. Gefen’s actions. On September 23, 1998, Mr. Gefen settled the claim for $400,100, and some or all of this amount may have been paid by Mr. Gefen’s employer and/or insurance carrier.

In April 1991, a NASD arbitration was filed against or in reference to Ivan Gefen. On November 29, 1991, Mr. Gefen settled the claim for $14,250, and some or all of this amount may have been paid by Mr. Gefen’s employer and/or insurance carrier.

In April 1991, a NASD arbitration was filed against or in reference to Ivan Gefen alleging failure to execute transactions. Per the customer, he/she lost over $270,000 because of Mr. Gefen’s actions. On April 27, 1992, Mr. Gefen settled the claim for $28,750, and some or all of this amount may have been paid by Mr. Gefen’s employer and/or insurance carrier.

In November 1990, a NASD arbitration was filed against or in reference to Ivan Gefen by a customer of Prudential Securities, Inc. alleging misrepresentation of unsuitable equities bonds and limited partnerships purchased with alleged damages in excess of 280,000. Per the customer, he/she lost over $200,000 because of Mr. Gefen’s actions. An arbitration panel found that Ivan Gefen was negligent and awarded $158,000 in favor of the customers.

How To File A Claim Against Ivan Gefen of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc. (previously with Morgan Stanley and National Asset Management, Inc.) To Get Your Money Back

If you have questions about Ivan Gefen, Newbridge Securities Corporation, Newbridge Financial Services Group, Inc., Morgan Stanley, National Asset Management, 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.

Did You Lose Money Because of John Forrester Jr?

Filed: February 19, 2024

Did John Gerard Forrester Jr of Newbridge Securities Corporation  (previously with Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., and Dean Witter Reynolds Inc.) Cause You to Lose Money?

John Forrester Jr currently has two (2) pending customer complaints. Overall, he has been the subject of six (6) customer complaints, one (1) regulatory event, and one (1) financial event. 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 Gerard Forrester Jr.

Who Is John Gerard Forrester Jr of Newbridge Securities Corporation?

• Advisor Name: John Gerard Forrester Jr
• Aliases: John Gerard Forrester
• CRD: 728188
• Location: Boca Raton, Florida
• Current Employer: Newbridge Securities Corporation
• Previous Firms: Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., and Dean Witter Reynolds Inc.
• Number of Known Customer Complaints: 6
• Can John Forrester Jr Be Sued: Yes, in Private Arbitration
• Can John Forrester Jr’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $108,315.02

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

As of this publication date, John Forrester Jr has been the subject of 6 customer disputes, 1 regulatory event, and 1 financial event. Let’s review them below.

In January 2024, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, breach of contract, fraud and negligence, and negligent supervision. Per the customer, he/she lost over $100,000 because of Mr. Forrester’s actions. As of this publication date, this claim remains pending.

In May 2023, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, negligence, fraud, and breach of contract. Per the customer, he/she lost over $200,000 because of Mr. Forrester’s actions. As of this publication date, this claim remains pending.

In April 2019, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Newbridge Securities Corporation  alleging breach of fiduciary duty, breach of contract, and negligence. Per the customer, he/she lost over $55,000 because of Mr. Forrester’s actions. On December 10, 2019, Mr. Forrester settled the claim for $7,500, and some or all of this amount may have been paid by Mr. Forrester’s employer and/or insurance carrier.

In June 2017, John Forrester Jr filed for bankruptcy in the United States Bankruptcy Court for the Southern District of Florida.

In August 2008, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Wasserman & Associates, Inc. alleging that securities in an account that was opened at the end of June, 2007, had declined significantly in value. the customer further states that the aim of the investment was to maintain the principal intact. Per the customer, he/she lost over $140,000 because of Mr. Forrester’s actions. An arbitration panel found that John Forrester Jr was negligent and awarded $108,315.02 in favor of the customers.

In October 2010, FINRA initiated a regulatory action against or in reference to John Forrester Jr for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a finra request to provide information concerning the status of compliance.

In September 1996, a NASD arbitration was filed against or in reference to John Forrester Jr by a customer of Dean Witter Reynolds Inc. alleging unsuitability, concentration, and churning. Per the customer, he/she lost over V because of Mr. Forrester’s actions. An arbitration panel found that John Forrester Jr was negligent and awarded $50,000 in favor of the customers.

In April 1993, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Prudential Securities alleging unsuitability and misrepresentation in connection with the 1991 purchases of AG Spanos, MFS, MITF, Gov’t Security Equity Trust, Aircora, PB Tax Credit & Putnam Otion Trust. Per the customer, he/she lost over $96,700 because of Mr. Forrester’s actions. On August 11, 1994, Mr. Forrester settled the claim for $30,000, and some or all of this amount may have been paid by Mr. Forrester’s employer and/or insurance carrier.

How To File A Claim Against John Forrester Jr of Newbridge Securities Corporation (previously with Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., and Dean Witter Reynolds Inc.) To Get Your Money Back

If you have questions about John Forrester Jr, Newbridge Securities Corporation, Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., Dean Witter Reynolds 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.

Did You Lose Money Because of John Forrester Jr?

Filed: February 19, 2024

Did John Gerard Forrester Jr of Newbridge Securities Corporation  (previously with Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., and Dean Witter Reynolds Inc.) Cause You to Lose Money?

John Forrester Jr currently has two (2) pending customer complaints. Overall, he has been the subject of six (6) customer complaints, one (1) regulatory event, and one (1) financial event. 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 Gerard Forrester Jr.

Who Is John Gerard Forrester Jr of Newbridge Securities Corporation?

• Advisor Name: John Gerard Forrester Jr
• Aliases: John Gerard Forrester
• CRD: 728188
• Location: Boca Raton, Florida
• Current Employer: Newbridge Securities Corporation
• Previous Firms: Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., and Dean Witter Reynolds Inc.
• Number of Known Customer Complaints: 6
• Can John Forrester Jr Be Sued: Yes, in Private Arbitration
• Can John Forrester Jr’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,500,000
• Highest Settlement: $108,315.02

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

As of this publication date, John Forrester Jr has been the subject of 6 customer disputes, 1 regulatory event, and 1 financial event. Let’s review them below.

In January 2024, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, breach of contract, fraud and negligence, and negligent supervision. Per the customer, he/she lost over $100,000 because of Mr. Forrester’s actions. As of this publication date, this claim remains pending.

In May 2023, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Newbridge Securities Corporation alleging breach of fiduciary duty, negligence, fraud, and breach of contract. Per the customer, he/she lost over $200,000 because of Mr. Forrester’s actions. As of this publication date, this claim remains pending.

In April 2019, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Newbridge Securities Corporation  alleging breach of fiduciary duty, breach of contract, and negligence. Per the customer, he/she lost over $55,000 because of Mr. Forrester’s actions. On December 10, 2019, Mr. Forrester settled the claim for $7,500, and some or all of this amount may have been paid by Mr. Forrester’s employer and/or insurance carrier.

In June 2017, John Forrester Jr filed for bankruptcy in the United States Bankruptcy Court for the Southern District of Florida.

In August 2008, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Wasserman & Associates, Inc. alleging that securities in an account that was opened at the end of June, 2007, had declined significantly in value. the customer further states that the aim of the investment was to maintain the principal intact. Per the customer, he/she lost over $140,000 because of Mr. Forrester’s actions. An arbitration panel found that John Forrester Jr was negligent and awarded $108,315.02 in favor of the customers.

In October 2010, FINRA initiated a regulatory action against or in reference to John Forrester Jr for failing to comply with an arbitration award or settlement agreement or to satisfactorily respond to a finra request to provide information concerning the status of compliance.

In September 1996, a NASD arbitration was filed against or in reference to John Forrester Jr by a customer of Dean Witter Reynolds Inc. alleging unsuitability, concentration, and churning. Per the customer, he/she lost over V because of Mr. Forrester’s actions. An arbitration panel found that John Forrester Jr was negligent and awarded $50,000 in favor of the customers.

In April 1993, a FINRA arbitration was filed against or in reference to John Forrester Jr by a customer of Prudential Securities alleging unsuitability and misrepresentation in connection with the 1991 purchases of AG Spanos, MFS, MITF, Gov’t Security Equity Trust, Aircora, PB Tax Credit & Putnam Otion Trust. Per the customer, he/she lost over $96,700 because of Mr. Forrester’s actions. On August 11, 1994, Mr. Forrester settled the claim for $30,000, and some or all of this amount may have been paid by Mr. Forrester’s employer and/or insurance carrier.

How To File A Claim Against John Forrester Jr of Newbridge Securities Corporation (previously with Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., and Dean Witter Reynolds Inc.) To Get Your Money Back

If you have questions about John Forrester Jr, Newbridge Securities Corporation, Wasserman & Associates, Inc., Thos. K. Wasserman & Associates, Inc., Dean Witter Reynolds 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.

Did You Lose Money Because of Tim Campbell?

Filed: February 15, 2024

Timothy Campbell (also known as Tim Campbell) has been the subject of one (1) customer complaint 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 Timothy Brian Campbell.

Who Is Timothy Brian Campbell of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.?

• Advisor Name: Timothy Brian Campbell
• Aliases: Tim Campbell
• CRD: 3046265
• Location: Corinth, Mississippi
• Current Employer: Newbridge Securities Corporation and Newbridge Financial Services Group, Inc.
• Previous Firms: MML Investors Services, LLC and Northwestern Mutual Investment Services, LLC
• Number of Known Customer Complaints: 1
• Number of Known Termination Events: 2
• Can Timothy Campbell Be Sued: Yes, in Private Arbitration
• Can Timothy Campbell’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: Unknown
• Highest Settlement: $27,223.96

If you have suffered investment losses by Timothy Campbell, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 Tim Campbell For Broker Misconduct

As of this publication date, Timothy Campbell has been the subject of 1 customer dispute and 2 termination events. Let’s review them below.

In July 2023, MML Investors Services, LLC terminated Timothy Campbell upon receipt of customer complaint and for use of unapproved, inaccurate sales literature.

In July 2023, a complaint was filed against or in reference to Timothy Campbell by multiple customers of MML Investors Services, LLC alleging concerns regarding life insurance policies and signature, e-mail, and information discrepancies found in their customer account forms beginning in or around 2020. On January 25, 2024, Mr. Campbell settled the claim for $27,223.96, and some or all of this amount may have been paid by Mr. Campbell’s employer and/or insurance carrier.

In September 2015, Northwestern Mutual Investment Services, LLC permitted Timothy Campbell to resign while under internal review regarding replacement activity and signature discrepancies on client forms for variable and non-variable products.

How To File A Claim Against Tim Campbell of Newbridge Securities Corporation and Newbridge Financial Services Group, Inc. (previously with MML Investors Services, LLC and Northwestern Mutual Investment Services, LLC) To Get Your Money Back

If you have questions about Timothy Campbell, Newbridge Securities Corporation, Newbridge Financial Services Group, Inc., MML Investors Services, LLC, Northwestern Mutual Investment Services, LLC, 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.