Gregory Alan Ricker of Boca Raton Florida a stockbroker formerly associated with Westpark Capital Inc. has been fined $5,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that he engaged in private securities transactions without the securities broker dealer’s approval. Letter of […]
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Tag Archives: Gregory Alan Ricker
Westpark Stockbroker Sanctioned For Selling Away
July 11, 2020 | Posted by : Guiliano Law Group | Promissory Notes, Selling Away and Outside Activities | Comments Off on Westpark Stockbroker Sanctioned For Selling Away
Investors Accuse WestPark Capital Of Churning
April 18, 2020 | Posted by : Guiliano Law Group | Boilerroom Sales, Churning, Excessive Trading, Investment and Regulatory News | Comments Off on Investors Accuse WestPark Capital Of Churning
Gregory Alan Ricker of Boca Raton Florida a stockbroker registered with WestPark Capital Inc. is the subject of a customer initiated investment related complaint which was resolved on September 17, 2019 for $22,500.00 in damages based upon accusations that transactions were unsuitable for the customer and that the customer’s equity portfolio had been churned by […]
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