Broker Misconduct Investigation: Rodger Thomas (Newbridge Securities)

National investment loss lawyers KlaymanToskes is investigating broker Rodger Thomas of Newbridge Securities (CRD#4010563). Thomas was previously registered as a broker with SCF Securities and Kovack Securities.

According to FINRA BrokerCheck, broker Rodger Thomas of Newbridge Securities is involved in a customer complaint alleging $500,000 in damages due to recommendations of unsuitable alternative investments.

Investors that suffered losses with broker Rodger Thomas are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss potential recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.

Newbridge Securities Advisor Rodger Thomas Faces Customer Complaint

Rodger Thomas of Newbridge Securities has reportedly been involved in a customer dispute. The complaint alleges unsuitable investment recommendations and $500,000 in investor damages. Thomas is currently registered as a broker and investment advisor with Newbridge Securities in Boca Raton, FL. Thomas was previously associated with Kovack Securities from August to October 2018, and with SCF Securities from December 2016 to August 2018.

Investment Losses with Broker Rodger Thomas?

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Signs Investors Should Look Out For About Their Brokerage Accounts

As an investor, there are a few signs that you should look out for if you believe you may have a claim against your financial advisor. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:

• You have substantial losses in your investment accounts
• You received a call, email, or other communication from your broker’s supervisor or manager regarding your portfolio
• Your broker misrepresented investment opportunities, or failed to disclose details about investments
• You notice unauthorized transactions in your investment accounts
• Your broker is not returning your calls or emails
• You filed a complaint with your brokerage firm that has not been resolved
• You see a mistake on your statement, or receive a fraudulent statement

Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.

Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.

If you suffered losses with broker Rodger Thomas, or have concerns regarding your investment portfolio at Newbridge Securities, SCF Securities, or with any other financial advisor or firm, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.