Erez Law is currently investigating former Newbridge Securities Corporation broker Alex Maltez (CRD# 6506116) regarding customer complaints alleging GWG Holdings Inc. losses. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Winter Springs, Florida, since 2022. He was registered with Newbridge Financial Services Group, Inc. in Winter Park, Florida, from 2019 to 2022, Newbridge Securities Corporation in Winter Park, Florida, from 2019 to 2022, Corecap Investments, Inc. in Southfield, Michigan, from 2018 to 2019, Corecap Advisors in Riverdale, New Jersey, from 2018 to 2019, and USA Financial Securities Corporation in Pompton Plains, New Jersey, from 2017 to 2018.
Alex Maltez Customer Complaints
He has been the subject of four customer complaints between 2022 and 2025, according to his CRD report:
November 2025. “Breach of contract, breach of fiduciary duty, failure to supervise, negligence, misrepresentation, violation of federal securities laws, and violation of Reg Bi.” The customer is seeking $651,709 in damages, and the case is currently pending. The complaint was regarding alternative investments and GWG Holdings Inc. losses. The complaint took place while he was registered with Newbridge Securities Corporation.
February 2025. “Breach of fiduciary duty, negligence, and Reg Bi.” The customer sought $50,000 in damages, and the case was settled for $27,500. The complaint was regarding alternative investments and GWG Holdings Inc. losses. The complaint took place while he was registered with Newbridge Securities Corporation.
October 2024. “Breach of fiduciary duty, negligence, and Reg Bi.” The customer sought $120,000 in damages, and the case was settled for $55,000. The complaint was regarding alternative investments and GWG Holdings Inc. losses. The complaint took place while he was registered with Newbridge Securities Corporation.
July 2022. “Suitability, Breach of Fiduciary Duty, Failure to Supervise, Breach of Contract, Fraud and Violation of FINRA Rule 2210.” The customer sought $30,000 in damages. The complaint was regarding alternative investment losses. The complaint took place while he was registered with Newbridge Securities Corporation.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Newbridge Securities Corporation may be liable for investment or other losses suffered by Alex Maltez’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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