Kyle Corgan Subject of Dispute Alleging Negligence
Kyle Corgan (CRD #: 4417800), a broker registered with Newbridge Securities Corporation, is involved in a pending investor dispute, according to his BrokerCheck record, accessed on July 28, 2022. Investors may have also engaged his services through Newbridge Financial Services Group. Read on if you want to know more about Kyle Corgan’s conduct as a broker.
On June 7, 2022, an investor named Kyle Corgan in allegations of negligence and negligent supervision. The client seeks $100,000 in this pending dispute.
FINRA Rule 3110
Failure to supervise violates FINRA Rule 3110, which requires firms to establish and enforce supervisory systems. Firms must ensure that supervisors have the appropriate training and/or experience for their roles and provide written procedures for them to follow.
What is broker negligence?
Broker negligence can come in many forms. Some common types of negligent conduct include the omission of relevant information about an investment, unsuitable investment recommendations, and unauthorized trading.
Investors who lose money through broker negligence may be able to recoup their losses by seeking out FINRA arbitration.
Kyle Corgan has passed the following exams:
- Series 66 – Uniform Combined State Law Examination
- Series 65 – Uniform Investment Adviser Law Examination
- Series 63 – Uniform Securities Agent State Law Examination
- SIE – Securities Industry Essentials Examination
- Series 7 – General Securities Representative Examination
Kyle Corgan is a registered broker in Florida, Minnesota, Nevada, New York, and North Carolina. He is also a registered investment adviser in North Carolina.
He has also worked for Fidelity Brokerage Services (CRD#:7784) and David Lerner Associates (CRD#:5397).
Kurta Law Can Help
If you worked with Kyle Corgan and you have concerns about your investments, please contact us today at 877-600-0098 or email@example.com 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.