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James Williams Of Newbridge Securities Corporation Has 6 Customer Complaints For Alleged Broker Misconduct

Who is James Williams of Newbridge Securities Corporation?

James Williams

James Williams (CRD #1631008) who is currently registered as a broker with Newbridge Securities Corporation and located in Boca Raton, Florida, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Newbridge Securities Corporation, James Williams was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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James Williams Customer Complaints

James Williams has been the subject of 6 customer complaints that we know about seeking to recover investment losses. Five of the customer complaints were settled by Newbridge Securities Corporation or his former employer in favor of the investors. The other customer complaint was denied by AG Edwards and Sons and the investor took no further action.

Allegations Against James Williams

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Poor investment advice.
  • Unauthorized purchases of stock
  • Unsuitable investment recommendations.
  • Series of fraudulent, speculative, unauthorized, excessive and unsuitable securities transactions.
  • Failure to adhere to claimant’s investment objectives of preservation of capital and investment in unsuitable mutual funds.
  • Negligence, breach of fiduciary duty in violation of Florida’s Investor Protection Act.

James Williams Red Flags & Your Rights As An Investor

Of course, James Williams 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 Williams at Newbridge Securities Corporation on alert to review carefully the activity and performance of their accounts and question whether James Williams has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Newbridge Securities Corporation 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.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Newbridge Securities Corporation Due To James Williams

If you have questions about Newbridge Securities Corporation and/or James Williams 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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