Investor Alleges Negligence in Michael Whitaker Dispute
Michael Whitaker (CRD #: 6316100), a broker registered with Newbridge Securities Corporation, is involved in a pending dispute, according to his BrokerCheck record, accessed on June 9, 2022. If you have questions about Michael Whitaker’s conduct as a broker, keep reading.
On April 29, 2022, an investor alleged that Michael Whitaker engaged in negligence and negligent supervision. The investor seeks $100,000 in damages in this pending suit.
What is broker negligence?
Negligent supervision violates FINRA Rule 3110, which requires firms to establish and maintain systems of supervision to monitor their regulatory compliance.
On March 4, 2020, two criminal charges were added to Michael Whitaker’s record–one for witness tampering and one for battery.
Michael Whitaker has passed the following exams:
- Series 66 - Uniform Combined State Law Examination
- SIE - Securities Industry Essentials Examination
- Series 7 - General Securities Representative Examination
Michael Whitaker is a registered broker in seven states and a registered investment adviser in Florida and Louisiana.
He has only registered with Newbridge Securities Corporation (CRD #: 104065).
Kurta Law Can Help
If you worked with Michael Whitaker 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.