Tag Archives: Westpark Capital Financial Services LLC

WestPark Stockbroker Barred In Selling Away Investigation

May 15, 2021  |   Posted by :   |   Boilerroom Sales, Investment and Regulatory News, Selling Away and Outside Activities   |   Comments Off on WestPark Stockbroker Barred In Selling Away Investigation

Gregory Walter McCloskey (also known as Gregory Walter Meier) of Newport Beach California a stockbroker formerly registered with WestPark Capital Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity according to a FINRA Office of Hearing Officer’s Order that contains findings of McCloskey engaging in private securities […]

Read More »

FINRA Bars WestPark Stockbroker In Fraudulent Promissory Note Scheme

September 30, 2020  |   Posted by :   |   Failure to Conduct Due Diligence, FINRA Securities Arbitration, Promissory Notes, Securities Arbitration Claims, Securities Fraud   |   Comments Off on FINRA Bars WestPark Stockbroker In Fraudulent Promissory Note Scheme

Harry Seth Datys of New York New York a stockbroker formerly employed by WestPark Capital Inc. has been fined $20,000.00 and suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that he advised customers of WestPark to purchase promissory notes that were not suitable for them and […]

Read More »

Westpark Stockbroker Sanctioned For Selling Away

July 11, 2020  |   Posted by :   |   Promissory Notes, Selling Away and Outside Activities   |   Comments Off on Westpark Stockbroker Sanctioned For Selling Away

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 […]

Read More »

Investors Sue WestPark For Breach Of Fiduciary Duty

June 24, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, Securities Arbitration Claims, Unauthorized Trading, Unsuitable Investment Recommendations   |   Comments Off on Investors Sue WestPark For Breach Of Fiduciary Duty

Terry Au of New York New York a stockbroker formerly employed by WestPark Capital Inc. has been identified in a customer initiated investment related arbitration claim where the customer sought $125,000.00 in damages founded on accusations that a fiduciary duty that was owed to the customer was breached by Au in regard to the customer’s […]

Read More »

WestPark Stockbroker Investigated For Fraud

April 23, 2020  |   Posted by :   |   Boilerroom Sales, Securities Arbitration Claims, Securities Fraud, Unregistered Securities   |   Comments Off on WestPark Stockbroker Investigated For Fraud

Harry Seth Datys of New York New York a stockbroker associated with WestPark Capital has been referenced in an investigation initiated by Financial Industry Regulatory Authority (FINRA) on December 20, 2019 into allegations that the stockbroker schemed to defraud investors through his offer and sale of Westpark Capital Financial Services LLC securities. FINRA Investigation No. […]

Read More »