DID BRIAN ROBERT ROTH CAUSE YOU INVESTMENT LOSSES?
Brian Robert Roth Of Newbridge Securities Corporation Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Brian R. Roth of Newbridge Securities Corporation?
Brian Roth (CRD #4607595) who is currently registered with Newbridge Securities Corporation and located in Chester, New Jersey is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corporation, Brian Roth was associated with Aeon Capital and 13 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Brian Roth Customer Complaints
In his career, Brian Roth has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last two years to recover investment losses. Three of Brian Roth’s 3 customer complaints were settled in favor of investors.
Allegations Against Brian Roth
A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:
- Breach of fiduciary duty, violation of FINRA rules, breach of contract and negligence, negligent supervision of Brian Roth.
- Customer alleges Brian Roth engaged in excessive trading, unauthorized trading and misrepresentation.
- Claimaint alleges unauthorized trading and churning by Brian Roth.
Brian Roth Red Flags & Your Rights As An Investor
Of course, Brian Roth 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 Brian Roth at Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether Brian Roth has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Newbridge Securities Corporation which also raises questions about its 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
If you have questions about Newbridge Securities Corporation and/or Brian Roth 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.