Public records published by the Financial Industry Regulatory Authority (FINRA) on September 9, 2016 indicate that Florida-based Newbridge Securities broker/adviser Dennis Hayes is the subject of a pending customer complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Hayes (CRD# 4403550).
Dennis Hayes has spent 13 years in the securities industry and has been registered with Newbridge Securities in Boca Raton, Florida since 2010. Previous registrations include NFP Securities in Charlotte, North Carolina; Capital Investment Group in Charlotte, North Carolina; MML Investors Services in Charlotte, North Carolina; Equity Services in Montpelier, Vermont; Veravest Investments in Worcester, Massachusetts; and AAL Capital Management in Minneapolis, Minnesota. He is a registered broker and investment adviser with nine US states and territories: Delaware, Florida, Georgia, Illinois, Indiana, Maryland, Nevada, North Carolina, and South Carolina.
According to his BrokerCheck report, Dennis Hayes has received one customer complaint and one pending customer complaint.
In July 2016, a customer alleged Dennis Hayes, while employed at Newbridge Securities, failed to supervise, breached his fiduciary duty, misrepresented and omitted material facts, and participated in the sale of unregistered securities. The customer is seeking $750,000 in damages in the pending complaint.
In April 2016, a customer alleged Dennis Hayes, while employed at Newbridge Securities, committed fraud, negligently misrepresented and omitted material facts, and violated the North Carolina Securities Act. The complaint settled in July 2016 for $12,500, to which Mr. Hayes individually contributed $12,500.
If you have lost money investing with Dennis Hayes, you may be able to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.