Articles Tagged with Matt Neas

Matt NeasPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 7, 2018 indicate that former Florida-based Newbridge Securities Corporation broker/adviser Matt Neas, who has received resolved or pending customer disputes, has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Neas (CRD# 2863660).

Matt Neas has spent 19 years in the securities industry and was most recently registered with Newbridge Securities Corporation in Boca Raton, Florida (2011-2017). Previous registrations include Next Financial Group in Austin, Texas (2008-2011); Merrill Lynch in Austin, Texas (2005-2008); UBS Financial Services in Weehawken, New Jersey (2001-2005); and Morgan Stanley DW in Purchase, New York (1997-2001). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on April 30, 1997; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 18, 1997; Series 31 (Futures Managed Funds Examination), which he obtained on May 7, 1997; and Series 7 (General Securities Representative Examination), which he obtained on April 16, 1997. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction, six customer complaints, and two pending customer complaints.

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