Carlos Nestor Evertsz-Seda, of Ronkonkoma, New York, a stockbroker formerly registered with K.C. Ward Financial, is the subject of a customer initiated investment related arbitration claim on January 6, 2017, in which the customer requested $100,000.00 in damages based on allegations that Evertsz-Seda caused the customer’s market losses through effecting transactions that were not suitable.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Evertsz-Seda has been fined and suspended from associating with any FINRA member in any capacity based upon consenting to findings that he participated in undisclosed outside business activities. Letter of Acceptance, Waiver and Consent, No. 2013038657801.
According to the AWC, a customer of the firm was solicited by Evertsz-Seda to provide a loan to an entertainment business, BG – a company that Evertsz-Seda associated with outside the auspices of K.C. Ward. In connection with Evertsz-Seda’s efforts regarding the $60,000.00 loan arrangement, he was reportedly paid $10,000.00 by BG. Evertsz-Seda apparently failed to apprise K.C. Ward about this outside business activity. Consequently, FINRA found his conduct to be violative of FINRA Rules 2010 and 3270.
Guiliano Law Group
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