Tag Archives: William Nicholas Athas

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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KC Ward Financial Named In Customer Fraud Action

William Nicholas Athas, of Ronkonkoma, New York, a stockbroker formerly registered with K.C. Ward Financial, has been named in a customer initiated investment related arbitration claim on February 16, 2017, in which the customer requested $290,000.00 in damages based upon allegations including: the use of fraudulent or manipulative contrivances or devices; breach of duty of […]

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