Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Slavik (Slavik), currently associated with Newbridge Securities Corporation, has at least one disclosable event. These events include one customer complaint, alleging that Slavik recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $150,000.00 on October 04, 2024.
SUITABILITY, BREACH OF FIDUCIARY DUTY/BREACH OF COVENANTS OF GOOD FAITH AND FAIR DEALING, UNAUTHORIZED TRADING, CHURNING, AND FAILURE TO SUPERVISE.
