NEWBRIDGE SECURITIES CORPORATION

Discharged

TERMINATED FOR VIOLATION OF FINRA RULE 3240(b) AND FIRM POLICIES IN REGARD TO A LOAN THAT ROTH OBTAINED FROM A BROKERAGE CLIENT BEFORE HIS ASSOCIATION WITH NEWBRIDGE, THAT WAS THEN MODIFIED AND DOCUMENTED DURING HIS ASSOCIATION WITH NEWBRIDGE (AND ULTIMATELY PAID IN FULL), ALL WITHOUT NOTIFYING AND/OR SEEKING APPROVAL FROM NEWBRIDGE.

SUITABILITY, NEGLIGENCE, FRAUD, FAILURE TO SUPERVISE, VIOLATION FINRA RULE 2010, BREACH OF CONTRACT.

$1,500,000.00

$195,000.00

I deny all allegations in this claim

$8,657.37

Tax

BREACH OF FIDUCIARY DUTY, VIOLATION OF FINRA RULES, BREACH OF CONTRACT AND NEGLIGENCE, NEGLIGENT SUPERVISION

$400,000.00

$100,000.00

This has no merit at all, as client has not lost money in this investment as of yet. I was not named in the complaint, nor was I a part of the settlement, in fact I had no understanding there was going to be a settlement until notified after the fact. Claimant is a current client of mine who had no idea this would affect me when he filed the claim, since his counsel advised him otherwise. I am already starting the process to seek to have this expunged from my license.

$5,038.64

Tax

$16,477.00

Tax

FINRA

Respondent Roth failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

Letter

Suspension

All capacities

n/a

9/14/2018

10/4/2018

Pursuant to Article VI, Section 3 of FINRA By-Laws, and FINRA Rule 9554, Respondent Roth is suspended on September 14, 2018, for failure to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance. Suspension was lifted on October 4, 2018.

I was involved in a dispute with a former client. My former client breached the confidentiality provision in our settlement agreement. We were going back and forth with them since early 2018, and in fact I notified FINRA on February 26th that I would not be paying this based on the circumstances. I was told that if anything arose it would be directed to an arbitration for us to deal with amongst ourselves. In August I received a suspension letter and I decided to fight it. We have since settled this

$59,090.02

Tax

I never received notice form the IRS that my installment agreement was terminated. They were sending all mail to my previous address. Shortly after I updated my drivers license to the new address I received the notice from the IRS. I have a payment arrangement in place.

CUSTOMER ALLEGES EXCESSIVE TRADING, UNAUTHORIZED TRADING AND MISREPRESENTATION.

$780,000.00

$125,000.00

I VEHEMENTLY DENY ALL ALLEGATIONS REGARDING EXCESSIVE TRADING, UNAUTHORIZED TRADING AND MISREPRESENTATION.

CLAIMAINT ALLEGES UNAUTHORIZED TRADING AND CHURNING.

$85,000.00

BRIAN ROTH CONTINUES TO DENY THAT THE ARBITRATION HAS ANY MERIT BUT NEVERTHELESS JOHN THOMAS FINANCIAL, INC WISHED TO ENTER INTO THE SETTLEMENT AGREEMENT TO AVOID ANY ARBITRATION COSTS AND EXPENSES INCLUDING COUNSEL FEES AND TRAVEL EXPENSES, IT WILL INCUR IF THIS ARBITRATION IS NOT RESOLVED. ALL CLAIMS AND PARTIES WERE DISMISSED AS A CONDITION OF THE SETTLEMENT. NO CLAIM IS PENDING AGAINST MR. ROTH.