Tag Archives: Carlos Nestor Evertsz-Seda

K.C. Ward Stockbroker Barred For Failure To Cooperate in Regulatory Investigation

Carlos Nestor Evertsz-Seda of Ronkonkoma New York a stockbroker formerly registered with K.C. Ward Financial has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon accusations that Evertsz-Seda disregarded a FINRA inquiry possibly concerning Evertsz-Seda being subject of customer initiated investment related disputes. Case No. 2016052401401 (Mar. […]

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KC Ward Financial Sued By Customer For Suitability

September 15, 2017  |   Posted by :   |   Unsuitable Investment Recommendations   |   0 Comments

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. […]

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