Tag Archives: Westpark Capital Inc.

Investors Bring FINRA Abrbitration Claim Against WestPark Capital For Negligence

September 30, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Securities Arbitration Claims   |   Comments Off on Investors Bring FINRA Abrbitration Claim Against WestPark Capital For Negligence

John Anthony Orlando of Fort Lauderdale Florida a stockbroker formerly employed by WestPark Capital is referenced in a customer initiated investment related arbitration claim in which the customer sought $338,500.00 in damages supported by allegations that between August of 2016 and March of 2017, the customer had been sold securities in a bad private placement […]

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Westpark Stockbroker Investigated For Selling Away

July 11, 2020  |   Posted by :   |   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 […]

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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. […]

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Investors Accuse WestPark Capital Of Churning

April 18, 2020  |   Posted by :   |   Boilerroom Sales, Churning, Excessive Trading, Investment and Regulatory News   |   Comments Off on Investors Accuse WestPark Capital Of Churning

Gregory Alan Ricker of Boca Raton Florida a stockbroker registered with WestPark Capital Inc. is the subject of a customer initiated investment related complaint which was resolved on September 17, 2019 for $22,500.00 in damages based upon accusations that transactions were unsuitable for the customer and that the customer’s equity portfolio had been churned by […]

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WestPark Terminates Stockbroker For Failure To Comply With Heightened Supervision

January 10, 2020  |   Posted by :   |   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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Westpark Broker Barred For Obstructing Investigation

Lawrence John Fawcett Jr. of Los Angeles California is a stockbroker formerly registered with Westpark Capital Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into allegations of Fawcett’s unapproved outside business activities. Letter of Acceptance […]

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Westpark Capital Sued By Customer For Private Placement

December 15, 2017  |   Posted by :   |   Private Placement Fraud   |   0 Comments

Victor Carmine Sibilla, of Scottsdale, Arizona, a stockbroker currently registered with Westpark Capital, Inc., is the subject of a customer initiated investment related civil action brought in a state court in Salt Lake City, Utah, where the customer requested $108,400.00 in damages founded on accusations that Sibilla effected the customer’s private placement transaction even though […]

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