Israels & Neuman, PLC Investigates Brian Roth, Formerly of Newbridge Securities Corp.
MORRISTOWN, NEW JERSEY
Are you a current or former customer of financial advisor Brian Roth, of Newbridge Securities Corp. and and formerly with International Assets Advisory in Morristown, New Jersey? We are reviewing claims made against Brian Roth. Roth has been the subject of four customer complaints, including one customer complaint filed in June 2022 seeking $1.5 million in damages.
According to BrokerCheck, the June 2022 complaint claims that Brian Roth made unsuitable recommendations to invest in “alternative” investments. Roth was also the subject of a 2020 complaint involving private placements.
Brian Roth has been licensed with Newbridge Securities Corp. from December 2018 to the present. He previously was with International Assets Advisory from June 2013 to August 2018. Roth has worked in offices in Morristown and Mendham, New Jersey. In addition to these customer complaints, Roth was also suspended for 20 days by FINRA in 2018 for failing to comply with an arbitration award or settlement, and he’s also been the subject of four tax liens.
Broker dealers such as Newbridge Securities Corp. and International Assets Advisory have obligations to reasonably supervise their advisors pursuant to FINRA Rule 3110. If the firm fails to do so, it could be responsible for investor losses.
Israels & Neuman PLC is a securities arbitration law firm that represents investors throughout the country, including investors in New Jersey and New York. We have represented over one thousand investors against numerous brokerage firms over the years, including against Newbridge Securities Corp. and International Assets Advisory.
View Roth, b BrokerCheck 7.26.22