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Antoine Shamlee Named in Dispute Alleging Negligence

Mar 3, 2023 Negligence

Antoine Shamlee (CRD #: 4750442), a broker registered with Newbridge Securities, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on February 22, 2023. Keep reading to learn more about his alleged conduct as a broker.

Investor Dispute

On January 3, 2023, an investor named Antoine Shamlee in allegations of failure to supervise, negligence, breach of contract, and violation of industry rules. The client seeks $224,462 in damages in this pending dispute.

FINRA Rule 3110

FINRA Rule 3110 requires that firms establish systems of supervision to ensure their compliance with securities regulations. Among other things, firms must appoint supervisors with the appropriate training or experience for their positions.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

What qualifies as broker negligence?

Many types of broker misconduct may qualify as negligence. Typical examples include unsuitable investment recommendations, misrepresentations or omissions of material facts, and excessive trading.

Investors who have lost money through broker negligence may be able to recover their funds by seeking out FINRA arbitration.

Background Information

Antoine Shamlee has passed the following exams:

  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination
  • Series 24 – General Securities Principal Examination

Antoine Shamlee is a registered broker in 22 states and the District of Columbia.

He has also worked for the following firms:

  • Caldwell International Securities (CRD#:104323)
  • Meyers Associates (CRD#:34171)
  • Buckman, Buckman & Reid (CRD#:23407)
  • Mercer Capital (CRD#:104012)
  • Emerald Investments (CRD#:139511)
  • Reid & Rudiger (CRD#:47263)
  • S.W. Bach & Company (CRD#:43522)
  • Joseph Stevens & Company (CRD#:35459)

Kurta Law Can Help

If you worked with Antoine Shamlee and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.