According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Matthew Turner (Turner), currently associated with Westpark Capital, Inc., has at least one disclosable event. These events include one regulatory, alleging that Turner recommended unsuitable investments in different investment products including debt securities among other allegations and…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfred Vanderlaan (Vanderlaan), previously associated with Westpark Capital, Inc., has at least 6 disclosable events. These events include 5 customer complaints, one regulatory, alleging that Vanderlaan recommended unsuitable investments in different investment products including debt securities among…
According to BrokerCheck records financial advisor Philip Rosensweig (Rosensweig), currently employed by WestPark Capital, Inc. (WestPark Capital) has been subject to at least ten customer complaints. According to records kept by The Financial Industry Regulatory Authority (FINRA), most of Rosensweig’s customer complaints allege that Rosensweig made unsuitable recommendations in a…
According to BrokerCheck records financial advisor Marc Steinberg (Steinberg), currently employed by Westpark Capital, Inc. (Westpark Capital) has been subject to five customer complaints in his career. According to records kept by The Financial Industry Regulatory Authority (FINRA), many of the complaints against Steinberg concern allegations of unsuitable investments. In…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Michael Polyakov (Polyakov) has been subject to three customer complaints and eight financial disclosures. Polyakov is currently employed by Westpark Capital, Inc. (Westpark Capital). Many of the customer complaints against Polyakov concern allegations of high frequency trading…
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…
The security fraud attorneys at Gana Weinstein LLP are currently investigating Westpark Capital, Inc. (Westpark Capital) broker Patrick Maddren (Maddren). According to BrokerCheck records, Maddren has been subject to two customer disputes involving various forms of security fraud. In March 2016, a customer alleged that Maddren engaged in a wide…
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Patrick Maddren (Maddren) has been subject to two customer complaints and two tax liens. Maddren is currently registered with WestPark Capital, Inc. (WestPark Capital). In March 2016 a customer filed a complaint alleging a number of securities…
According to BrokerCheck records financial advisor Victor Sibilla (Sibilla), currently associated with Westpark Capital, Inc. (Westpark Capital), has been subject to 6 customer complaints, one regulatory action, and two civil judgments. According to records kept by The Financial Industry Regulatory Authority (FINRA) Sibilla has been accused by customers of unsuitable…
The securities fraud lawyers of Gana Weinstein LLP are investigating customer complaints filed with The Financial Industry Regulatory Authority’s (FINRA) against broker Thomas Sullivan (Sullivan). According to BrokerCheck records Sullivan has been the subject of at least six customer complaints and two terminations for cause. The customer complaints against Sullivan…