{"id":18420,"date":"2019-10-30T06:56:50","date_gmt":"2019-10-30T11:56:50","guid":{"rendered":"https:\/\/www.investorlawyers.com\/blog\/?p=18420"},"modified":"2019-10-30T12:52:22","modified_gmt":"2019-10-30T17:52:22","slug":"newbridge-securities-gpb-investigation","status":"publish","type":"post","link":"https:\/\/www.investorlawyers.com\/blog\/newbridge-securities-gpb-investigation\/","title":{"rendered":"Newbridge Securities, Under Investigation for GPB Private Placement Sales, Fined $225K for Inadequate Supervision"},"content":{"rendered":"

Newbridge Securities in Boca Raton, a Florida-based broker-dealer, \u00a0is censured by the Financial Industry Regulatory Authority (FINRA) and has been fined $225K over its purported failure to adequately supervise the sale of exchange-traded funds, structured notes, and other complex securities.\u00a0<\/span><\/p>\n

The self-regulatory authority (SRO) also fined the firm\u2019s investment banking director, Bruce Jordan, $5K for failing to properly supervise the sales. He is suspended for two months.\u00a0<\/span><\/p>\n

GPB Private Placement Lawyers<\/span><\/h2>\n
Continue Reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"

Newbridge Securities in Boca Raton, a Florida-based broker-dealer, \u00a0is censured by the Financial Industry Regulatory Authority (FINRA) and has been fined $225K over its purported failure to adequately supervise the sale of exchange-traded funds, structured notes, and other complex securities.\u00a0 The self-regulatory authority (SRO) also fined the firm\u2019s investment banking director, Bruce Jordan, $5K for […]<\/p>\n","protected":false},"author":2,"featured_media":18421,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"jetpack_post_was_ever_published":false,"footnotes":""},"categories":[3774,3739],"tags":[3188,4066,3207],"class_list":["post-18420","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-broker-dealers","category-finra","tag-gpb-capital-holdings","tag-gpb-private-placements","tag-newbridge-securities"],"yoast_head":"\nNewbridge Securities Under Investigation For GPB 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