Tag Archives: KC Ward Financial

KC Ward Financial Sued By Investors For Fraud

March 26, 2020  |   Posted by :   |   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

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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FINRA Sanctions KC Ward CEO For Failure To Supervise

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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