Articles Posted in Lawrence Fawcett

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Lawrence Fawcett (Fawcett), previously associated with Westpark Capital, INC., has at least 5 disclosable events. These events include 3 customer complaints, 2 regulatory events, alleging that Fawcett recommended unsuitable investments in different investment products including debt securities…

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) former Westpark Capital, Inc. (Westpark Capital) broker Lawrence Fawcett (Fawcett) has been subject to five customer complaints, two regulatory actions and one termination for cause.  Fawcett was barred by FINRA from the securities industry in March 2018 after…