Joseph Glodek: Has Received Three Regulatory Sanctions

Joseph GlodekPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on April 25, 2017 indicate that New Jersey-based Newbridge Securities broker Joseph Glodek has been the subject of customer disputes and regulatory sanctions. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Glodek (CRD# 2024287).

Joseph Glodek has spent 26 years in the securities industry and has been registered with Newbridge Securities Corporation in Morristown, New Jersey since April 2017. Previous registrations include National Securities in Morristown, New Jersey; Wunderlich Securities in Morristown, New Jersey; National Securities in Morristown, New Jersey; Joseph Stevens & Company in Brooklyn, New York; William Scott & Company in Union, New Jersey; AS Goldmen & Company in Red Bank, New Jersey; and DH Blair & Company in New York, New York. He is a registered broker with 26 US states and territories.

According to his BrokerCheck report, Joseph Glodek has received three regulatory sanctions and three customer complaints.

In 2013 the State of Massachusetts sanctioned him in connection to a prior FINRA sanction. He was placed on heightened supervision, forbidden from serving in principal, supervisory or managerial capacities, and forbidden from exercising discretion in Massachusetts customer accounts, for a period of two years.

In 2005 a customer alleged Joseph Glodek, while employed at William Scott & Company, misrepresented material facts, made unsuitable investment recommendations, and executed unauthorized and excessive transactions. The complaint settled for $12,000.

In 2003 the National Association of Securities Dealers sanctioned him following allegations he failed to take appropriate action to supervise another individual’s conduct. He was suspended from acting in a principal capacity for 55 days and issued a fine of $5,000.

In 2002 a customer alleged Joseph Glodek, while employed at William Scott & Company, was negligent in his supervisory duties. The complaint settled for $25,000.

If you have lost money investing with Joseph Glodek, you may be able to recover your losses. Call 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.