Park Avenue Securities is a brokerage firm headquartered in New York New York which has been censured and fined $300,000.00 by Financial Industry Regulatory Authority (FINRA) based upon the firm’s consent to findings that it failed to supervise its annuities operations to ensure that registered representatives made recommendations of annuities in compliance with securities laws […]
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Tag Archives: Park Avenue Securities
Park Avenue Securities Censured For Failure To Supervise
April 18, 2018 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Variable Annuites | 0 Comments
Westminster Financial Services Sued by Customer for Theft
February 14, 2017 | Posted by : Guiliano Law Group | Investment and Regulatory News, Misappropriation of Funds, Securities Arbitration Claims, Stockbroker Theft | 0 Comments
Jill M. Cody, of Spring Lake, New Jersey, a stockbroker formerly registered with Westminster Financial Securities, Inc., has been named in a customer initiated investment related written complaint on January 18, 2017, based upon allegations that Cody misappropriated the customer’s funds. Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Cody has been identified in […]
Read More »Park Avenue Securities Stockbroker Suspended For Misrepresentations
August 17, 2016 | Posted by : Guiliano Law Group | Failure To Supervise, Investment and Regulatory News, Misappropriation of Funds, Stockbroker Theft | 0 Comments
Christopher Lawrence Wacker, of Brookfield, Wisconsin, a stockbroker with Park Avenue Securities was fined $5,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he had made misrepresentations concerning trading authority in customer accounts. Letter of Acceptance, Waiver and Consent, No. […]
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