FORT LAUDERDALE, FLORIDA Are you a former customer of Michael Grande, formerly with Newbridge Securities in Fort Lauderdale, Florida? Our law firm is reviewing allegations made by FINRA against this advisor. FINRA seeks to bar him from the securities brokerage industry in an April 2024 complaint because he failed to respond to a FINRA investigation.

FINRA investigated Grande regarding allegations that he engaged in short-term trading of mutual funds in his customers’ accounts between July 2017 and May 2022. He has not responded to written requests by FINRA as part of its investigation.

Michael Charles Grande held a securities brokerage license with Newbridge Securities from 2005 to May 2022.

Pursuant to FINRA Rule 8210, advisors must adequately and timely respond to FINRA investigations. Likewise, FINRA Rule 3110 requires securities brokerage firms to adequately supervise their representatives. If firms fail to provide sufficient supervision, they could be responsible for financial damages.

If you lost money with Michael Grande or Newbridge Securities, please Contact Us at 206-795-5798 for a free evaluation of your case.

View FINRA’s Complaint HERE View BrokerCheck Report HERE

BOCA RATON, FLORIDA

Did you invest with financial advisor James Williams from Boca Raton, Florida? Our investment fraud law firm is reviewing allegations made by his clients. He has been licensed with Newbridge Securities since 2010.

James Earl Williams is the subject of 6 customer complaints, two of which were made since 2022. In 2022, Newbridge Securities paid $140,000 to settle a complaint where a customer alleged a breach of fiduciary duty related to an “alternative” investment sold by Williams. A complaint was also filed in August 2023, in which the firm denies any wrongdoing. Williams was also suspended by the Florida Office of Financial Regulation for a year in 2012, in which Florida alleged that he made a material misrepresentation on his license application.

Stockbrokers are required to abide by FINRA (the Financial Industry Regulatory Authority) rules. FINRA Rule 2111 states that advisors make suitable investment recommendations to customers. The brokerage firm and/or advisor can be liable if Rule 2111 is violated.

Our law firm represents investors throughout the country, including investors in Florida. Attorney David Neuman is licensed to practice law in Florida.

SEE JAMES WILLIAMS BROKERCHECK REPORT HERE

If you lost money with James Earl Williams or Newbridge Securities, please Contact Us at (206) 795-5798 for a free evaluation of your case.