JOSEPH A MEDINA is currently employed as a Broker and/or Investment Adviser at NEWBRIDGE SECURITIES CORPORATION located at 555 MADISON AVE FL 5, NEW YORK, NY, 10022.
JOSEPH A MEDINA has worked at NEWBRIDGE SECURITIES CORPORATION since February 06, 2020
JOSEPH A MEDINA has 6 Disclosure Event(s).
Date: May 01, 2020 Category: Customer Dispute - Pending Allegations: UNSUITABLE INVESTMENTS Damage Amount Requested: $53,060.86
Broker Comment: "To the best of my knowledge this complaint was initially addressed to my Broker Dealer in 2017 and was denied by them in its entirety. To reiterate I also deny it in its entirety."
Date: February 06, 2018 Category: Customer Dispute - Settled Allegations: Excessive fees/Unauthorized trades and defamatory comments Damage Amount Requested: $350,000.00
Settlement Amount: $39,000.00
Broker Comment: I deny any wrong doing. The firm denied the claim in its answer. The matter was settled for a fraction of the claim amount to avoid the cost and risk of arbitration.
Date: March 09, 2017 Category: Customer Dispute Allegations: Misrepresented return on existing product and failed to return fees as promised. Damage Amount Requested: $5,647.72
Date: August 08, 2016 Category: Judgment / Lien
Broker Comment: Due to COVID 19, courts closed, will provide proof of vacated and release
Date: January 03, 2011 Category: Employment Separation After Allegations Firm Name: CHASE INVESTMENT SERVICES CORP Termination Type: Discharged Allegations: LOSS OF CONFIDENCE. MULTIPLE CUSTOMER COMPLAINTS. Broker Comment: I DISPUTE THE CHARACTERIZATION OF MY FORMER FIRM THAT I HAVE HAD "MULTIPLE" COMPLAINTS. I AM AWARE OF ONLY TWO COMPLAINTS WHILE AT CHASE. ONE WAS RESOLVED WHILE I WAS AT CHASE. THE SECOND COMPLAINT AROSE AFTER I LEFT MY FORMER FIRM AND WAS FROM AN ACCOUNT THAT ONCE WAS MINE BUT HAD BEEN RE-ASSIGNED TO ANOTHER REPRESENTATIVE.
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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