Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 14, 2019 indicate that Florida-based Newbridge Securities Corporation broker Stephen Trowbridge has received a customer complaint and was recently terminated from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Trowbridge (CRD# 2153891).
Stephen Trowbridge has spent 25 years in the securities industry and has been registered with Newbridge Securities in Boca Raton, Florida since May 2019. Previous registrations include Kestra Investment Services in Hoover, Alabama (2015-2019); Securities America in Hoover, Alabama (2014-2015); Sterne Agee in Hoover, Alabama (2009-2014); Merrill Lynch in Birmingham, Alabama (2008-2009); Colonial Brokerage in Clanton, Alabama (2003-2008); Raymond James Financial Services in St. Petersburg, Florida (2003); Frank Chappelle & Company in Birmingham, Alabama (2003); Compass Brokerage in Birmingham, Alabama (1998-2003); SunAmerica Securities in Phoenix, Arizona (1997-1998); John Hancock Distributors in Boston, Massachusetts (1995-1997); John Hancock Mutual Life Insurance Company in Boston, Massachusetts (1995-1997); MetLife Securities in Springfield, Massachusetts (1993-1995); and Metropolitan Life Insurance Company in New York, New York (1993-1995). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on November 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 10, 2000; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 18, 1993. He is currently not registered with any US state or territory.
According to his BrokerCheck report, he has received two customer complaints and one regulatory sanction, and he was discharged from his former employer in connection to alleged rule violations.
In April 2019 he was terminated from his position at Kestra Investment Services in connection to allegations he failed to follow firm policy.
In 2008 a customer alleged Stephen Trowbridge, while employed at Colonial Brokerage, did not adequately explain the features of a variable annuity product. The complaint settled for more than $32,500.
In 2000 a customer alleged Stephen Trowbridge, while employed at Compass Brokerage, failed to timely follow her instructions not to purchase a variable annuity. The complaint settled for more than $5,200.
In 2000 the Alabama Securities Commission sanctioned him in connection to allegations he participated in the distribution of unregistered securities. He was ordered to pay disgorgement of $3,500.
If you or someone you know has complaints regarding Stephen Trowbridge, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recover lost funds. All cases are taken on a contingency basis: we only receive payment if and when you collect money. Time to file your claim may be limited, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.