Dec 1, 2022

Dominic Linsalata of Dawson James Securities, Inc.

DID DOMINIC JOSEPH LINSALATA JR. CAUSE YOU INVESTMENT LOSSES? Dominic Linsalata Of Dawson James Securities, Inc. And Formerly With Newbridge Securities Corporation Has 3 Customer Complaints For Alleged Broker Misconduct Who is Dominic Linsalata of Dawson James Securities, Inc.? Dominic Linsalata (CRD #2703709) who is currently registered with Dawson James Securities, Inc. and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Dawson James Securities, Dominic Linsalata was associated with Newbridge Securities Corporation and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Dominic Linsalata Customer Complaints Dominic Linsalata has been the subject of 3 customer complaints that we know about, which were filed to recover investment losses. All three of Dominic Linsalata’s customer complaints were settled in favor of investors. Allegations Against Dominic Linsalata A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Misrepresentations and unsuitable recommendations in breach of fiduciary duty, breach of contract, constituting elder abuse. Unsuitable investment recommendations, misrepresentations and excessive trading of common and preferred stocks. Unsuitable investment recommendations of stocks in private placement investments. Dominic Linsalata Red Flags & Your Rights As An Investor Of course, Dominic Linsalata did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dominic Linsalata at Dawson James Securities, Inc. and Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Dominic Linsalata has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities, Inc. and Newbridge Securities Corporation also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Dawson James Securities, Inc. Due To Dominic Linsalata If you have questions about Dawson James Securities, Inc., Newbridge Securities Corporation and/or Dominic Linsalata and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Jul 7, 2022

Christopher Shaw of Newbridge Securities Corporation

As a customer, you are putting your money in the hands of someone you can trust. This is why it’s critical to learn everything there is to know about the person investing on your behalf. This data might assist you in determining whether or not working with a specific broker is right for you. If you believe Christopher Shaw has caused you financial harm, we may be able to assist you in resolving any issues or concerns you have. DID CHRISTOPHER J. SHAW CAUSE YOU INVESTMENT LOSSES? Christopher Shaw Of Newbridge Securities Corporation And Formerly With Pruco Securities, LLC Has 7 Customer Complaints For Alleged Broker Misconduct Who is Christopher Shaw of Newbridge Securities Corporation? Christopher Shaw (CRD #5011382) who is currently registered with Newbridge Securities Corporation and located in Belmont, North Carolina is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Newbridge Securities Corporation, Christopher Shaw was associated with Pruco Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Christopher Shaw Customer Complaints Christopher Shaw has been the subject of 7 customer complaints that we know about, 5 of those complaints were filed in the last year to recover investment losses. All 7 of Christopher Shaw’s customer complaints were settled in favor of investors. Allegations Against Christopher Shaw A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Breach of contract, breach of fiduciary duty, negligence, and unsuitable investment recommendations related to risky, illiquid and complex alternative real estate and other direct investments. Unsuitable investment recommendations and misrepresentations related to private placement investment. Unsuitable investment recommendations of GPB Capital private placement. Unsuitable and overconcentrated investments and portfolio related to real estate securities. Misrepresentation and unsuitable investment recommendations of a REIT and private placement investment. Breach of fiduciary duty and unsuitable investment recommendations related to alternative investments. Unsuitable investment recommendations to purchase oil and gas in real estate securities. Christopher Shaw Red Flags & Your Rights As An Investor Of course, Christopher Shaw did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Christopher Shaw at Newbridge Securities Corporation and Pruco Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Christopher Shaw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation and Pruco Securities, LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Newbridge Securities Corporation Due To Christopher Shaw If you have questions about Newbridge Securities Corporation, Pruco Securities, LLC, and/or Christopher Shaw and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Stephen Sullivan of Spartan Capital Securities

DID STEPHEN JAMES SULLIVAN CAUSE YOU INVESTMENT LOSSES? Stephen Sullivan Of Spartan Capital Securities And Formerly With SW Financial, Worden Capital Management And Newbridge Securities Has 2 Customer Complaints For Alleged Broker Misconduct Who is Stephen Sullivan of Spartan Capital Securities? Stephen Sullivan (CRD #3123249) who is currently registered with Spartan Capital Securities and located in Garden City, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Stephen Sullivan was associated with SW Financial, Worden Capital Management, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Stephen Sullivan set his own share regulatory problems.  In 2016, he consented to a 10 day suspension and $5,000 fine, without admitting or denying the allegations, by FINRA that he exercise discretion in clients accounts without obtaining prior written authorization from his customers to exercise discretion in their accounts or obtain approval from member firm to engage in discretionary trading. Stephen Sullivan Customer Complaints Stephen Sullivan has been the subject of 2 customer complaints that we know about. One of Stephen Sullivan’s 2 customer complaints was settled in favor of investors. One of Stephen Sullivan’s customers’ complaints was denied and, to date, the customers have not taken any further action. Allegations Against Stephen Sullivan A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Stephen Sullivan’s excessive trading, unauthorized trading, and unsuitable transactions were executed in account. Also alleged were fraud, negligence, breach of contract, and breach of fiduciary duty. Client alleged Stephen Sullivan’s unauthorized trade for 2,000 shares GDP. Stephen Sullivan Red Flags & Your Rights As An Investor Of course, Stephen Sullivan did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Stephen Sullivan at Spartan Capital Securities, SW Financial, Worden Capital Management, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Stephen Sullivan has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities, SW Financial, Worden Capital Management, and Newbridge Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Stephen Sullivan If you have questions about Spartan Capital Securities, SW Financial, Worden Capital Management, Newbridge Securities, and/or Stephen Sullivan and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

James Ray of Newbridge Securities

DID JAMES RAY CAUSE YOU INVESTMENT LOSSES? James Ray Of Newbridge Securities Corp., Newbridge Financial Services Group And Formerly With Raymond James & Associates Has 6 Customer Complaints For Alleged Broker Misconduct Who is James Ray of Newbridge Securities Corp.? James Ray (CRD #1854247) who is currently registered with Newbridge Securities Corp., Newbridge Financial Services Group and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corp. and Newbridge Financial Services Group, James Ray was associated with Raymond James & Associates and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. James Ray Customer Complaints James Ray has been the subject of 6 customer complaints that we know about. One arbitration award was entered against Citigroup Global Markets for James Ray’s alleged misconduct causing investors losses. One of James Ray’s 6 customer complaints was settled in favor of investors. Four of James Ray’s customers complaints were denied and, to date, the customers have not taken any further action. Allegations Against James Ray A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Client alleged unauthorized trading by James Ray. Alleged James Ray’s unsuitability, misrepresentation and negligence regarding purchases of speculative technology mutual funds and stocks. Claimants alleged, inter alia, that James Ray bought Fannie Mae preferred stock that carried a greater risk than was suitable for the clients. Client alleged that his instructions to invest his IRA account in a conservative manner were not followed by James Ray allegedly. Client’s attorney alleged James Ray’s “failure to exercise a reasonable standard of care in dealing with” the client because although she was assured that she would be informed of buy/sell recommendations, she failed to receive a call to sell when other clients were advised to sell. James Ray allegedly was named in a customer complaint that asserted the following causes of action: breach of contract, breach of fiduciary duty, and negligence. The causes of action related to claimant’s allegation that respondent breached an agreement to compensate claimant for respondent’s admitted mistake, regarding how an annuity would operate. Claimant further alleged that the annuity was solicited, but the annuity contract was not delivered to claimant, and the annuity features were misrepresented to claimant during the ten years of periodic reviews. Claimant also asserted that respondent agreed to pay claimant a sum in a pre-suit settlement, and that this action is to enforce that settlement. James Ray Red Flags & Your Rights As An Investor Of course, James Ray did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of James Ray at Newbridge Securities Corp., Newbridge Financial Services Group, and Raymond James & Associates on alert to review carefully the activity and performance of their accounts and question whether James Ray has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corp., Newbridge Financial Services Group, and Raymond James & Associates also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Newbridge Securities Corp. Due To James Ray If you have questions about Newbridge Securities Corp., Newbridge Financial Services Group, Raymond James & Associates, and/or James Ray and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Tariq Sales of Spartan Capital Securities

DID TARIQ MUHAMMED SALES CAUSE YOU INVESTMENT LOSSES? Tariq Sales Of Spartan Capital Securities And Formerly With Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Tariq Sales of Spartan Capital Securities? Tariq Sales (CRD #2851440) who is currently registered with Spartan Capital Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Spartan Capital Securities, Tariq Sales was associated with Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Tariq Sales Customer Complaint Tariq Sales has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were breach of fiduciary duty; breach of contract and negligence. The customer complaint filed against Tariq Sales’ former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Tariq Sales Red Flags & Your Rights As An Investor Of course, Tariq Sales did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Tariq Sales at Spartan Capital Securities and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Tariq Sales has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Spartan Capital Securities and Newbridge Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Spartan Capital Securities Due To Tariq Sales If you have questions about Spartan Capital Securities, Newbridge Securities, and/or Tariq Sales and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Peter Ruggiere of Dawson James Securities

DID PETER GEORGE RUGGIERE CAUSE YOU INVESTMENT LOSSES? Peter Ruggiere Of Dawson James Securities Has 5 Customer Complaints For Alleged Broker Misconduct Who is Peter Ruggiere of Dawson James Securities? Peter Ruggiere (CRD #2248318) who is currently registered with Dawson James Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Peter Ruggiere Customer Complaints Peter Ruggiere has been the subject of 5 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Peter Ruggiere’s 5 customer complaints resulted in an arbitration award in favor of the investor. One of Peter Ruggiere’s 5 customer complaints was settled in favor of investors. One of Peter Ruggiere’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Newbridge Securities for investment losses caused by Peter Ruggiere’s alleged misconduct. Allegations Against Peter Ruggiere A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Churning allegedly by Peter Ruggiere. Client alleged Peter Ruggiere’s misrepresentation. Peter Ruggiere’s alleged purchase of unsuitable securities and misrepresentations relative to the purchase of those securities. Negligence, breach of fiduciary duty, breach of contract, negligent misrepresentations and omissions and lost opportunity. Peter Ruggiere’s alleged suitability, performance, use of margin. The statement of claim alleged that the respondent representatives recommended unsuitable transactions, made misrepresentations, and conducted excessive trading. Peter Ruggiere Red Flags & Your Rights As An Investor Of course, Peter Ruggiere did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Peter Ruggiere at Dawson James Securities on alert to review carefully the activity and performance of their accounts and question whether Peter Ruggiere has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Dawson James Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Dawson James Securities Due To Peter Ruggiere If you have questions about Dawson James Securities and/or Peter Ruggiere and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Howard Leon of Newbridge Securities

DID HOWARD LEON CAUSE YOU INVESTMENT LOSSES? Howard Leon Of Newbridge Securities And Formerly With Stoever Glass & Company, National Securities And UBS Financial Services Has 8 Customer Complaints For Alleged Broker Misconduct Who is Howard Leon of Newbridge Securities? Howard Leon (CRD #2158589) who is currently registered with Newbridge Securities and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Howard Leon was associated with Stoever Glass & Company, National Securities, UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Howard Leon Customer Complaints Howard Leon has been the subject of 8 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of Howard Leon’s 8 customer complaints were settled in favor of investors. Two of Howard Leon’s customers’ complaints were denied and, to date, the customers have not taken any further action. There are currently two pending customer complaints filed against National Securities Corp. and Stoever Glass & Company for investment losses caused by Howard Leon’s alleged misconduct. Allegations Against Howard Leon A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Howard Leon’s breach of fiduciary duty, misrepresentations, omissions and manipulative devices, violations of state securities laws, unsuitable trading, recklessness and breach of contract. Client alleged that Howard Leon mishandled her account, resulting in unspecified damages. Client claimed Howard Leon sold without her authorization and unsuitable purchases. Customer alleged that former registered representative, Howard Leon misrepresented the risks associated with municipal bonds when he told them they were good and safe bonds. Claimant alleged Howard Leon made unsuitable recommendations and engaged in excessive trading in her account. Client alleged he gave instructions to liquidate all Puerto Rico bonds from his accounts and those instructions were not followed by Howard Leon. Howard Leon Red Flags & Your Rights As An Investor Of course, Howard Leon did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Howard Leon at Newbridge Securities, Stoever Glass & Company, National Securities, and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Howard Leon has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities, Stoever Glass & Company, National Securities, and UBS Financial Services also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Newbridge Securities Due To Howard Leon If you have questions about Newbridge Securities, Stoever Glass & Company, National Securities, UBS Financial Services, and/or Howard Leon and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Kevin Doyle of Aegis Capital

DID KEVIN DOYLE CAUSE YOU INVESTMENT LOSSES? Kevin Doyle Of Aegis Capital Corp. And Formerly With National Securities and Newbridge Securities Has 3 Customer Complaints For Alleged Broker Misconduct Who is Kevin Doyle of Aegis Capital Corp.? Kevin Doyle (CRD #2189452) who is currently registered with Aegis Capital Corp. and located in Mineola, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital Corp., Kevin Doyle was associated with National Securities, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Kevin Doyle Customer Complaints Kevin Doyle has been the subject of 3 customer complaints that we know about. Two of Kevin Doyle’s 3 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Newbridge Securities for investment losses caused by Kevin Doyle’s alleged misconduct. Allegations Against Kevin Doyle A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Kevin Doyle’s alleged improper trading. The client claims Kevin Doyle allegedly made unsuitable recommendations not in line with investment objectives. Kevin Doyle’s alleged unsuitability, fraudulent and misleading conduct, omission of facts, negligence, various statutory violations and UAT. Kevin Doyle Red Flags & Your Rights As An Investor Of course, Kevin Doyle did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Kevin Doyle at Aegis Capital Corp., National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Kevin Doyle has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital Corp., National Securities, and Newbridge Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Corp. Due To Kevin Doyle If you have questions about Aegis Capital Corp., National Securities, Newbridge Securities, and/or Kevin Doyle and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Michael Farrell Formerly With Aegis Capital

DID MICHAEL JAMES FARRELL CAUSE YOU INVESTMENT LOSSES? Michael Farrell Formerly With Aegis Capital, National Securities And Newbridge Securities Has A Customer Complaint For Alleged Broker Misconduct Who is Michael Farrell formerly with Aegis Capital? Michael Farrell (CRD #2282842) who was formerly registered with Aegis Capital and located in Red Bank, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Aegis Capital, Michael Farrell was associated with National Securities, Newbridge Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Michael Farrell Customer Complaint Michael Farrell has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitability, breach of contract, breach of fiduciary duty. The customer complaint filed against Michael Farrell’s former employer Aegis Capital for investment losses caused by the alleged misconduct is pending as of the date of this report. Michael Farrell Red Flags & Your Rights As An Investor Of course, Michael Farrell did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Michael Farrell at Aegis Capital, National Securities, and Newbridge Securities on alert to review carefully the activity and performance of their accounts and question whether Michael Farrell has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Aegis Capital, National Securities, and Newbridge Securities also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Aegis Capital Due To Michael Farrell If you have questions about Aegis Capital, National Securities, Newbridge Securities, and/or Michael Farrell and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Mar 8, 2022

Andrew Corbman formerly with Newbridge Securities and Kovack Securities

DID ANDREW SCOTT CORBMAN CAUSE YOU INVESTMENT LOSSES? Andrew Corbman Formerly With Newbridge Securities And Kovack Securities Has 19 Customer Complaints For Alleged Broker Misconduct Who is Andrew Corbman formerly with Newbridge Securities? Andrew Corbman (CRD #2513558) who was formerly registered with Newbridge Securities and located in Lansdowne, Virginia is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities, Andrew Corbman was associated with Kovack Securities and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Andrew Corbman himself has been the subject of two FINRA investigations.  In 2016, he consented to a one-month suspension and entry of findings that he made recommendations that were unsuitable overconcentrations and certain securities that expose customers to a risk of loss that exceeded each customer’s risk tolerance investment objective.  Shortly after that case was resolved, he refused to cooperate in connection with another investigation and give on the record testimony requested by FINRA and was permanently barred from any further association with any member firm in any capacity. Andrew Corbman Customer Complaints Andrew Corbman has been the subject of 19 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Sixteen of Andrew Corbman’s 19 customer complaints were settled in favor of investors. Three of Andrew Corbman’s customers’ complaints were denied and the customers did not take any further action. Allegations Against Andrew Corbman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleged Andrew Corbman’s breach of fiduciary duty, unsuitability and failure to supervise and violation statutes, regarding the sale of individual securities. Claimant alleged Andrew Corbman’s over-concentration of her account. Claimant alleged that Andrew Corbman sold unsuitable investments. Claimant alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and overconcentration in connection with the purchase of stocks. Claimant alleged Andrew Corbman’s unsuitability, fraud, breach of contract, negligent supervision, breach of fiduciary duty, overconcentration, and violation of California’s Securities Act. Claimant alleged Andrew Corbman’s violations of Section 10(b)-5, common law fraud, negligence, unsuitability, unauthorized trading, churning, breach of fiduciary duty and breach of contract.. Claimants alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, breach of fiduciary duty, overconcentration. Claimants alleged Andrew Corbman’s unsuitability, common law fraud, breach of contract, negligent supervision, breach of fiduciary duty, and overconcentration, in relation to the purchases of shares of Augme Technologies Inc. stock. Client alleged losses in his accounts caused by Andrew Corbman. Client alleged Andrew Corbman’s negligence, unsuitability, failure to supervise related to stock purchases. Client alleged Andrew Corbman’s unsuitability of investments and misrepresentation. Client alleged Andrew Corbman’s unsuitable investments and poor performance. Customer alleged that Andrew Corbman failed to adequately diversify investments. Customer further alleged that broker did not fully disclose the fees and charges of B shares. Customer’s alleged Andrew Corbman had them purchase unsuitable and high risk investments. Andrew Corbman’s alleged suitability of investment, including over concentration in one fund. The claimants alleged that Andrew Corbman liquidated certain investments causing them to pay deferred sales charges and surrender fees and that he didn’t not combine purchases denying them mutual fund breakpoints and rights of accumulation. Andrew Corbman’s alleged unauthorized and unsuitable investments; failure to supervise. Andrew Corbman’s alleged unjust enrichment; misrepresentation and non-disclosure; negligence; breach of fiduciary duty; breach of contract; violation of state securities laws; violation of the Pennsylvania Unfair Trade Practices and Consumer Protection Law; common law fraud; constructive fraud; breach of duty of fair dealing; violations of PA insurance law; churning; unauthorized trading; civil conspiracy. Violations of the Virginia Securities Act, Common Law Fraud, Securities Fraud, Breach of Fiduciary Duty, Unsuitability, Negligence, Breach of Contract were allegedly committed by Andrew Corbman. Andrew Corbman Red Flags & Your Rights As An Investor Of course, Andrew Corbman did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Andrew Corbman at Newbridge Securities and Kovack Securities on alert to review carefully the activity and performance of their accounts and question whether Andrew Corbman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities and Newbridge Securities also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Newbridge Securities Due To Andrew Corbman If you have questions about Newbridge Securities, Kovack Securities, and/or Andrew Corbman and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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