Search for: "Westpark Capital Inc."
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29 Jun 2010, 1:47 pm
LLC $11,600,000 - Jesup andamp; Lamont Securities Corp. $100,000 $13,500 Kaiser andamp; Co. $100,000 $160,650 Lighthouse Capital Corp. $250,000 $33,750 Main Street Securities LLC $205,000 $45,450 Matheson Securities LLC $100,000 $37,800 Milkie Ferguson Investments Inc. $4,145,000 $480,350 Morrow Wealth Management $30,000 - National Securities Corp. $3,665,000 $437,250 Newbridge Securities Corp. $25,000 $15,750 NEXT Financial Group Inc. $33,485,000… [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]
6 May 2010, 12:23 pm
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]
25 Sep 2008, 5:37 pm
" ANSE, Inc. v. [read post]
7 Aug 2008, 8:14 am
Rick Rappaport and his team at WestPark Capital in LA have completed the fifth reverse merger and PIPE using his "WRASP" structure. [read post]
