Broker Alan H. New, NYLife Securities, Fort Wayne, IN
FINRA Reportedly Bars Advisor Alan H. New after Allegations of Selling Away
Are you concerned about investments with Alan H. New in Fort Wayne, IN? If so, the securities attorneys at The White Law Group may be able to help you by filing a FINRA Dispute Resolution claim.
According to public records on the Financial Industry Regulatory Authority’s website, on April 8, New allegedly refused to appear for on-the-record testimony requested by FINRA in connection with an investigation into his potential alleged participation in undisclosed private securities transactions and outside business activities. The request was reportedly sent in connection with FINRA’s investigation of New’s participation in the sale of promissory notes related to the Woodbridge Group of Companies LLC.
According to his broker profile, New was reportedly registered with NYLife Securities in Fort Wayne, IN from 2004 until 2016. He reportedly has 15 customer complaints on his broker profile. Allegations include sales of unregistered and fraudulent investments in Woodbridge Funds, 1st Global, and Future Income Payments, among others.
Broker Investigation
The White Law Group is investigating potential securities fraud lawsuits regarding the liability that New’s employers may have for failure to properly supervise him.
If you are concerned about your investments with Alan H. New, please call the securities fraud attorneys at The White Law Group at 888-637-5510 for a free consultation.
The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Franklin, Tennessee. We represent investors in FINRA arbitration claims in all 50 states including Indiana. Our attorneys have recovered millions of dollars from many brokerage firms in the past.
For more information on The White Law Group, and its representation of investors, please visit www.WhiteSecuritiesLaw.com.
Tags: Alan H. New complaints, Alan H. New financial advisor, Alan H. New FINRA, Alan H. New Fort Wayne Indiana, Alan H. New investigation, Alan H. New lawsuit, Alan H. New NY Life., FINRA arbitration, securities fraud attorney, Woodbridge Group Last modified: April 8, 2020
