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GPB Capital | Investment Executive | James Langton | October 24, 2019 Other charges are unauthorized computer access and unauthorized disclosure of confidential information A former securities regulator is facing charges for allegedly accessing information about an investigation into a private equity firm that he sought to...

GPB | InvestmentNews | Bruce Kelly | October 23, 2019   According to InvestmentNews in its recent article about GPB, "GPB's chief compliance officer stole information from SEC during its investigation: DOJ" The Department of Justice Wednesday charged the chief compliance officer of GPB Capital Holdings, who is...

GPB | Financial Planing | Tobias Salinger | October 17, 2019 Since 2018, the SEC, FINRA, and Massachusetts securities regulators have launched investigations into GPB Capital Holdings. Additionally, the FBI and the New York City Business Integrity Commission made an unannounced visit to the GPB's offices...

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...