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Some financial advisors did not get a lot of love from the White House bully pulpit on Tuesday when President Joe Biden rolled out the Department of Labor’s newly proposed fiduciary rule governing retirement accounts. The proposed rule would “close loopholes” and impose a requirement that...

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...

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...

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