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…
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…