Securities Arbitration Lawyers BlogFINRA Bars Former Newbridge Broker Jerry Mofield
Jerry Mofield, a broker formerly with Roanoke, Virginia office of Newbridge Securities was permanently barred by FINRA for failing to respond to a request by FINRA for information.
Mofield was registered Newbridge from June 2007 until July 2014. According to his FINRA BrokerCheck report, he had a customer complaint alleging conversion, negligence, breach of fiduciary duty and breach of contract that was settled while at Newbridge. Mofield was a broker with First Montauk Securities, Multi-Financial Securities Corp, American Express Financial Advisors and IDS Life Insurance Company prior to working at Newbridge.
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