KENNETH HENRY BERNSTEIN is currently employed as a Broker and/or Investment Adviser at NEWBRIDGE SECURITIES CORPORATION located at 5200 TOWN CENTER CIRCLE, SUITE 308, BOCA RATON, FL, 33486.
KENNETH HENRY BERNSTEIN has worked at NEWBRIDGE SECURITIES CORPORATION since December 14, 2017
KENNETH HENRY BERNSTEIN has 8 Disclosure Event(s).
Date: September 19, 2017 Category: Judgment / Lien Judgment/Lien Amount: $57,603.00 Judgment/Lien Type: Tax Broker Comment: My federal tax lien is in ongoing negotiation between myself, my account firm and the IRS. The lien originated from unpaid taxes that went to pay for a family crisis not covered by my health insurance. This combined with recent real estate property valuations contributed to this current tax lien, which is currently being paid on a monthly basis to the IRS.
Date: March 18, 2014 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: Circumstances related to 2008 Financial crisis and Approx 75% reduction in business revenue, and a pending Divorce
Date: January 06, 2014 Category: Financial Type: Compromise Disposition: RESOLVED
Date: November 22, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: September 12, 2013 Category: Financial Type: Compromise Disposition: Discharged
Date: July 25, 2013 Category: Financial Type: Compromise Disposition: settled Broker Comment: Financial crisis of 2008 reduced my business revenue over 75% for about 4 years, combined with a pending divorce.
Date: December 01, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT ALTHOUGH HIS AGENT WAS FULLY AWARE OF HIS FINANCIAL SITUATION, HE PLACED ALL OF HIS MONEY INTO A MODERATE PLUS ALLOCATION AND HE HAS LOST OVER $10,000. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES ARE UNSPECIFIED. Broker Comment: THE FIRM HAS FOUND NO BASIS TO THIS CUSTOMER COMPLAINT.
Date: August 28, 1970 Category: Criminal Charges: THEFT OF TWO AUTOMOBILE TIRES VALUE OF$120.00/ Disposition: Not Provided Broker Comment: NO PENALTIES IMPOSED; SETTLEMENT OF $120.00; CASEAND CHARGES DISMISSED
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.
To view the full report for KENNETH HENRY BERNSTEIN, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More