Can I recover losses due to recommendations by former Newbridge Securities Corporation broker Joseph Smith Jr. (CRD# 428137)? He was registered with Kingswood Capital Partners, LLC in San Diego, California, from 2023 to 2024, Newbridge Securities Corporation in Boca Raton, Florida, from 2017 to 2023, R.M. Stark & Co., Inc. in Lake Worth Beach, Florida, from 2014 to 2017, and with The Strategic Financial Alliance, Inc. in Citra, Florida, from 2007 to 2014.
Joseph Smith Jr. Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
August 2023. “Breach of contract, violation of state securities statutes, breach of fiduciary duty, claims under common law and vicarious liability.” The case is currently pending. The complaint took place while he was registered with Newbridge Securities Corporation.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Newbridge Securities Corporation may be liable for investment or other losses suffered by Joseph Smith Jr.’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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