Gregory Walter McCloskey (also known as Gregory Walter Meier) of Newport Beach California a stockbroker formerly registered with Westpark Capital Inc. has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement with selling away from the securities broker dealer, obstructing the regulator’s investigation and falsifying information in its investigation. Department of Enforcement v. […]
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Tag Archives: Gregory Walter McCloskey
FINRA Charges Newport Stockbroker In Selling Away Scheme With The Elderly
December 07, 2020 | Posted by : Guiliano Law Group | Elder Financial Abuse, Investment and Regulatory News | Comments Off on FINRA Charges Newport Stockbroker In Selling Away Scheme With The Elderly
Westpark Stockbroker Investigated For Selling Away
July 11, 2020 | Posted by : Guiliano Law Group | FINRA Securities Arbitration, Selling Away and Outside Activities | Comments Off on Westpark Stockbroker Investigated For Selling Away
Gregory Walter McCloskey (also known as Gregory Walter Meier) of Newport Beach California a stockbroker formerly registered with Westpark Capital Inc. is the subject of a Financial Industry Regulatory Authority (FINRA) investigation concerning McCloskey’s possible engagement in private securities transactions and his possible obstruction of the regulator’s investigation into accusations of his misconduct. FINRA Case […]
Read More »WestPark Terminates Stockbroker For Failure To Comply With Heightened Supervision
January 10, 2020 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News | 0 Comments
Gregory Walter McCloskey (also known as Gregory Walter Meier) of Newport Beach California a stockbroker formerly registered with WestPark Capital Inc. has been terminated by the securities broker dealer on October 7, 2019 founded on accusations that McCloskey failed to comply with a heightened supervision plan that was implemented because of his misconduct in the […]
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