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Broker-Dealer Fined $225K Over Sales of Complex Products

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...

01 October, 2019

Finra censures Newbridge Securities and fines firm $225,000

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...

30 September, 2019

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Broker-Dealer Fined $225K Over Sales of Complex Products

Finra censures Newbridge Securities and fines firm $225,000

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