Our Staff has compiled our research into a database of FINRA Broker Disclosures for Newedge Securities, Inc.. 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 |
|---|---|---|---|---|---|---|---|---|
| Harold Edward Klein | 1021759 | 2 | 11/29/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Michaelangelo Dooley | 5859446 | 1 | 09/16/2022 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Jared Michaud Kaplan | 2886837 | 1 | 09/16/2022 | Customer Dispute | Settled | $26,000.00 | $0.00 | See FINRA Report |
| Ghislain Gouraige | 1845864 | 1 | 09/16/2022 | Customer Dispute | Pending | $26,000.00 | $0.00 | See FINRA Report |
| Brian Matthew Kahl | 2068621 | 1 | 07/09/2021 | Customer Dispute | Pending | $300,000.00 | $0.00 | See FINRA Report |
| Alan Matthew Stricker | 2630094 | 2 | 06/02/2021 | Customer Dispute | Settled | $23,995.00 | $0.00 | See FINRA Report |
| Christopher Walter Kubert | 4352945 | 3 | 05/14/2021 | Civil | Pending | $0.00 | $0.00 | See FINRA Report |
| Christopher Walter Kubert | 4352945 | 3 | 04/21/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Glen Ryan Mintz | 2189984 | 1 | 04/19/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Harold Edward Klein | 1021759 | 2 | 04/17/2021 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |