Search for: "Westpark Capital Inc." Results 1 - 20 of 45
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13 Apr 2021, 5:12 am by Iorio Altamirano
If you lost money in GPB funds with WestPark Capital, Inc., you might have a claim. [read post]
26 Jul 2018, 12:54 pm by Silver Law Group
Continue reading The post Silver Law Group is Investigating Lawrence Fawcett, Jr. of Westpark Capital, Inc. appeared first on Securities Arbitration Lawyers Blog. [read post]
3 Dec 2018, 1:44 pm by Staff Attorney
According to BrokerCheck records financial advisor Marc Steinberg (Steinberg), currently employed by Westpark Capital, Inc. [read post]
6 May 2010, 12:23 pm by Securites Lawprof
FINRA has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged... [read post]
20 Feb 2019, 6:04 am by Staff Attorney
According to BrokerCheck records financial advisor Philip Rosensweig (Rosensweig), currently employed by WestPark Capital, Inc. [read post]
9 Jan 2018, 11:56 am by Silver Law Group
Maddren CRD#4665903 Silver Law Group is investigating Ft Lauderdale, Florida-based Westpark Capital Inc. broker Patrick H Maddren following a customer complaint alleging unauthorized trading, churning and unsuitable investment recommendations. [read post]
22 Oct 2020, 7:11 am by Iorio Altamirano
Stephen Sloane was a financial advisor and registered representative at the following firms: Westpark Capital, Inc., New York, NY (March 2016 – August 2020); and Continue reading The post INVESTIGATION: Former Morgan Stanley and Westpark Capital, Inc. [read post]
21 May 2010, 12:26 pm
The Financial Industry Regulatory Authority (FINRA) announced today that it has ordered Los Angeles-based Westpark Capital, Inc. to pay a total of $400,000 for supervisory system failures, and has suspended two officers for failing to supervise brokers in two now-closed Long Island branches who churned customer accounts and engaged in unauthorized and unsuitable trading in multiple accounts. [read post]
11 Jul 2018, 2:09 pm by Staff Attorney
The security fraud attorneys at Gana Weinstein LLP are currently investigating Westpark Capital, Inc. [read post]
10 Nov 2017, 5:56 am by Adam Weinstein
According to BrokerCheck records financial advisor Victor Sibilla (Sibilla), currently associated with Westpark Capital, Inc. [read post]
24 Dec 2019, 10:49 am by Silver Law Group
Gregory Alan Ricker (CRD: 1834893) is a former registered broker and investment advisor whose last employer of record was Westpark Capital, Inc. [read post]
7 Jan 2020, 8:30 am by Silver Law Group
Prior to joining Dawson James Securities in 2012, Armstrong worked for Aurora Capital LLC and Westpark Capital, Inc. [read post]
16 Jul 2018, 7:37 am by Staff Attorney
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Westpark Capital, Inc. [read post]
11 Sep 2018, 12:42 pm by Silver Law Group
Patrick Maddren (CRD #4665903) is a currently registered broker with Westpark Capital, Inc. [read post]
1 Jul 2019, 12:43 pm by Silver Law Group
According to FINRA Disciplinary actions for June 2019, the following individuals were suspended from FINRA for failing to comply with a FINRA arbitration award or settlement agreement pursuant to FINRA rules: NAME FORMER EMPLOYERS   Andrews, Helen   Morgan Stanley   Barclays Capital Inc   Andreyeva, Tatyana   Westpark Capital, Inc   Fordham Financial Management, Inc   Basarian, Gary   Royal Alliance… [read post]