FREDERIC KIRBY NEWBURGER

FREDERIC KIRBY NEWBURGER is currently employed as a Broker and/or Investment Adviser at BENJAMIN F. EDWARDS & COMPANY, INC. located at 3510 North Causeway Blvd, Suite 520, Metairie, LA, 70002.

FREDERIC KIRBY NEWBURGER has worked at BENJAMIN F. EDWARDS & COMPANY, INC. since April 22, 2016

Disclosure History

FREDERIC KIRBY NEWBURGER has 2 Disclosure Event(s).

Date: December 17, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGED UNSUITABLE INVESTMENTS.
Damage Amount Requested: $25,000.00

Date: December 07, 1999
Category: Employment Separation After Allegations
Firm Name: LEGG MASON WOOD WALKER, INC.
Termination Type: Discharged
Allegations: FAILURE TO PROPERLY DOCUMENT IN WRITING AN ALLEGED OUTSIDE ACTIVITY.
Broker Comment: IN MAY THROUGH AUGUST OF THIS YEAR I TALKED WITH A FRIEND OF MINE ABOUT PEOPLE WHO MIGHT BE INTERESTED IN A NEW BUSINESS. THAT BUSINESS, FIBER-TECH, CONTACTED THESE PEOPLE. I REPORTED THIS TO MY BRANCH MANAGER, BUT NOT IN WRITTEN FORMAT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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