- September 11, 2019
- Newbridge Securities
Tariq Sales (CRD # 2851440) was a Financial Advisor at Newbridge Securities in New York, NY. Tariq Sales has been in the securities industry since 1997 and previously worked at Aegis Capital, Gunnallen Financial, Reid & Rudiger, First Republic, Briarwood Investment Counsel, Nichols, Safina, Lerner, and Meyers Pollock Robbins.
According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), Tariq Sales has a pending customer complaint disclosed on his CRD, alleging “Breach of fiduciary duty; breach of contract and negligence.” The alleged damages are $499,999.
For a copy of Tariq Sales’ CRD, click https://brokercheck.finra.org/individual/summary/2851440.
Financial advisors have a legal and regulatory obligation to recommend only suitable investments that are appropriate for their clients’ needs and objectives. Their employing brokerage firm has a legal and regulatory obligation to supervise the Financial Advisors’ sales practices and dealings with clients. To the extent any of these duties are breached, the customer may be entitled to a recovery of his or her investment losses.
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