Broker-Dealer, Newbridge Securities | Financial Advisor IQ | Alex Padalka | October 1, 2019 Finra has fined a Florida-based broker-dealer $225,000 for alleged failures to supervise the sales of complex investment products, the industry’s self-regulator says. From July 2013 to July 2015, Newbridge Securities allegedly failed to...
GPB Capital | Sun Journal | J. Craig Anderson | September 25, 2019 Two law firms allege investment brokers pushed unsuitably risky investments in GPB Capital Holdings on retirees and other unsophisticated investors, including those in Maine and New England. A group of lawyers claims Saco-based Prime...
Newbridge Securities | Investment News| Sep 27, 2019 @ 2:20 pm The Financial Industry Regulatory Authority Inc. has censured Newbridge Securities and fined the Boca Raton, Fla.-based firm $225,000 for having failed to adequately supervise the sale of complex securities such as structured notes and leveraged, inverse...
GPB Capital | Central Maine | J. Craig Anderson | September 25, 2019 Two law firms allege investment brokers pushed unsuitably risky investments in GPB Capital Holdings on retirees and other unsophisticated investors, including those in Maine and New England. A group of lawyers claims Saco-based Prime...
GPB Capital Holdings | Portland Press Herald | J. Craig Anderson | September 25, 2019 Two law firms allege investment brokers pushed unsuitably risky investments in GPB Capital Holdings on retirees and other unsophisticated investors, including those in Maine and New England. A group of lawyers claims...
GPB Capital Holdings Scandal | Business Wire | September 18, 2019 02:03 PM EDT Peiffer Wolf and Meyer Wilson File Complaints on Behalf of 91-Year-Old Florida Widow and Retired Russian Emigre Couple in Oregon; Scores of Financial Advisors and Brokerages Face Heat on $160 Million in...
GPB Auto | Portland Press Herald | J. Craig Anderson | September 18, 2019 Rosenberg accused the company's largest investor of financial misconduct in a lawsuit he filed in July. After accusing his largest investor of financial misconduct, David Rosenberg has been fired as chief executive of...
GPB Lawsuits | WealthManagement.com | Diana Britton | Sep 18, 2019 Two investors go after their brokers and firms, but this is likely just the beginning of a wave of litigation to come. Two investors have filed separate arbitration claims against brokerages and advisors who invested their...
GPB Lawsuit | Benzinga | September 18, 2019 2:03pm Peiffer Wolf and Meyer Wilson File Complaints on Behalf of 91-Year-Old Florida Widow and Retired Russian Emigre Couple in Oregon; Scores of Financial Advisors and Brokerages Face Heat on $160 Million in Commissions on Unsuitable Investments. The beleaguered...
NEW YORK CITY — September 18, 2019 — The beleaguered GPB Capital Holdings is dealing right now with scrutiny from the Securities Exchange Commission, state regulators, and the FBI. Today, the estimated 60 brokerages and financial planning firms nationwide that profited from “commission grabs” start...
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