Haselkorn & Thibaut has opened an independent investigation into Alex Maltez (CRD# 6506116), a Winter Springs, Florida-based financial advisor. Our in-depth review focuses on his activities during his tenure at Newbridge Securities Corporation, where several investor complaints were filed, especially concerning GWG investment products. If you have concerns about your investments with Alex Maltez, this report is for you—a clear summary, red flags for investors, and actionable next steps for protection. Call Haselkorn & Thibaut at 1-888-885-7162 for a free, no-obligation consultation.
Overview: Who is Alex Maltez?
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Alex Maltez is a financial advisor with approximately nine years of experience, currently registered as a broker and investment advisor with Merrill Lynch in Winter Springs, Florida. Previously, he was affiliated with Newbridge Securities Corporation. His licensing extends across Alabama, Connecticut, Florida, Georgia, Massachusetts, New Jersey, New York, Pennsylvania, and Texas.
For more detailed information, you may review his regulatory profile directly via FINRA BrokerCheck. To do so, simply enter his name or CRD number (6506116).
Complete List of Complaints Involving Alex Maltez at Newbridge Securities Corporation
During his time at Newbridge Securities, several investor complaints were filed against Alex Maltez. Below is a summary of each, including the specific allegations and the latest resolution or status:
| Date Filed | Summary of Allegations | Investment(s) Involved | Status / Outcome | Claimed or Settled Damages |
|---|---|---|---|---|
| November 2025 |
• Breach of contract • Misrepresentation of material facts • Breach of fiduciary duty • Supervisory failures • Failure to follow federal securities laws • Violation of SEC Regulation Best Interest |
GWG | Pending | $651,709 (alleged) |
| January 2025 |
• Breach of fiduciary duty • Negligence • Violation of Regulation Best Interest |
GWG | Settled (Dec. 2025) | $27,500 |
| October 2024 |
• Negligence • Breach of fiduciary duty • Violation of Regulation Best Interest |
GWG | Settled (Nov. 2025) | $55,000 |
| 2022 |
• Unsuitable alternative investments • Supervisory failures • Breach of contract • Fraud • Breach of fiduciary duty • Violation of FINRA Rule 2210 |
Alternative Investments | Settled (2023) | $30,000 |
Investor Red Flags: What These Complaints Reveal
- High Number of Serious Allegations: Claims against Alex Maltez relate to breaches of fiduciary duty, negligence, violation of federal securities laws, and alleged violations of key industry rules such as SEC Regulation Best Interest and FINRA Rule 2210.
- Pattern of GWG Product Complaints: Multiple cases revolve around investments in GWG Holdings products, which have come under regulatory and legal scrutiny across the country.
- Settlements Indicate Resolution But No Admission: Several claims have been resolved through monetary settlements, without any regulatory findings of violations but notably with significant amounts paid to clients.
- Pending Large Complaint: The most recent case seeks over $650,000 in damages and is still open, reflecting continuing concerns among investors.
- Supervisory and Suitability Issues: Complaints have mentioned failures in supervision and questions as to the appropriateness of recommended alternative investments, pointing to potential systemic issues.
Understanding FINRA Rule 2210 & Regulation Best Interest
FINRA Rule 2210 requires all financial advisor communications to be fair, balanced, and based on principles of fair dealing. Omission of important information, misleading statements, and exaggeration are strictly prohibited. Similarly, SEC Regulation Best Interest obligates advisors to always put clients’ interests ahead of their own when making recommendations.
The majority of investor complaints regarding Alex Maltez at Newbridge focus on alleged violations of these critical standards. This should be a red flag for anyone who received investment communications or recommendations from Mr. Maltez during his time at Newbridge Securities Corporation.
Why Ongoing Monitoring Matters
Regulatory records are updated on an ongoing basis. While no regulatory actions, criminal charges, or official SEC investigations have so far been posted against Alex Maltez, new developments can emerge. If you suspect past or present investment losses, or if you have documentation of recommendations involving GWG or other high-risk alternative investments, regular monitoring of public records is essential to stay informed.
- Check BrokerCheck for updates on disclosures and complaints.
- Monitor official SEC administrative proceedings and litigation releases.
- Set up news alerts for your advisor’s name, firm, and CRD number.
How Haselkorn & Thibaut Can Help You
Haselkorn & Thibaut is a national investor law firm, with over 50 years of experience, a 98% success rate, and millions recovered for clients. Our firm operates on a “no recovery, no fee” basis—you only pay if we secure compensation for your losses. We are standing by to assist those who invested with Alex Maltez at Newbridge Securities Corporation—especially those involved in GWG or other alternative investment products.
Get a free, confidential review of your case today—call Haselkorn & Thibaut at 1-888-885-7162. There is no cost or obligation, and our attorneys will help you determine your options for pursuing recovery.
Next Steps for Investors
- Gather your account statements, correspondence, and records of your relationship with Alex Maltez and Newbridge Securities Corporation.
- Document any GWG or alternative investment purchases made on his recommendation.
- Contact Haselkorn & Thibaut for a complimentary, professional review of your case.
- Remain vigilant by periodically checking BrokerCheck and setting up alerts for new information.
Your financial future is important. If you have suffered losses, do not delay. Contact Haselkorn & Thibaut today at 1-888-885-7162 for your free consultation.
