Our Staff has compiled our research into a database of FINRA Broker Disclosures for Newbridge Securities Corporation. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| John Kirkland Moy | 848350 | 6 | 05/05/2017 | Customer Dispute | Settled | $145,000.00 | $0.00 | See FINRA Report |
| Stephen David Tracy | 4655365 | 5 | 04/28/2017 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| James Keith Cox | 2365633 | 6 | 04/24/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Xavier Patino | 5528139 | 4 | 04/20/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Corinne Renae Mittag | 2754498 | 2 | 03/28/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Xavier Patino | 5528139 | 4 | 03/10/2017 | Customer Dispute | Settled | $32,279.00 | $0.00 | See FINRA Report |
| Kyle George Corgan | 4417800 | 5 | 03/10/2017 | Customer Dispute | Denied | $35,000.00 | $0.00 | See FINRA Report |
| Curtis C Randle El | 4877870 | 3 | 02/10/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Daniel Josef Derfel | 4397012 | 3 | 12/19/2016 | Customer Dispute | Settled | $360,000.00 | $0.00 | See FINRA Report |
| Malcolm Douglas MacLennan | 1630655 | 6 | 09/12/2016 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |