William Nicholas Athas of Melville New York a stockbroker formerly registered with KC Ward Financial is the subject of a customer initiated investment related arbitration claim which was resolved for $95,000.00 in damages based upon accusations that the customer was defrauded. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-00213 (Feb. 22, 2018). According to the […]
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Tag Archives: KC Ward Financial
KC Ward Financial Sued By Investors For Fraud
March 26, 2020 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Failure To Supervise, Securities Arbitration Claims, Securities Fraud, Unauthorized Trading, Unsuitable Investment Recommendations | Comments Off on KC Ward Financial Sued By Investors For Fraud
FINRA Sanctions KC Ward CEO For Failure To Supervise
December 18, 2019 | Posted by : Guiliano Law Group | Boilerroom Sales, Failure To Supervise, Investment and Regulatory News | 0 Comments
Louis Ward of Ronkonkoma New York a former owner and Chief Executive Officer of KC Ward Financial has been fined $10,000.00 and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Ward neglected to adequately supervise three KC Ward stockbrokers who gave customers […]
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