William Robert Slepcevich, of Naples, Florida, a stockbroker registered with Questar Capital Corporation, was the subject of a customer initiated investment related complaint that was settled on January 20, 2021, for $25,600.00 in damages based upon allegations that Slepcevich made the unsuitable investment recommendation of Business Development Companies (“BDCs”) when Slepcevich was associated with Questar Capital Corporation.
This is not the only time that Slepcevich has been referenced in a customer initiated investment related dispute concerning Slepcevich’s conduct in the securities industry. FINRA Public Disclosure shows that Slepcevich was also referenced in a customer initiated investment related civil action that was settled for $60,000.00 in damages based upon allegations that Slepcevich made unsuitable recommendations and breached his fiduciary duties to the customer in connection with the sale of direct investments when Slepcevich was associated with SummitAlliance Securities. Civil Action No. 11-1939-CA (June 7, 2013).
Slepcevich was associated with Questar Asset Management Inc. in Naples, Florida from March 5, 2014, to March 1, 2019, and Questar Capital Corporation in Naples, Florida from February 28, 2014, to March 1, 2019. He was associated with Woodbury Financial Services Inc. in Naples, Florida from March 1, 2019, to January 19, 2024. Slepcevich has been associated with Osaic Wealth Inc. in Naples, Florida since January 19, 2024.
