Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Joseph Sanders (Sanders), currently associated with Westpark Capital, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Sanders recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $500,000.00 on July 19, 2021.
Claim alleges breach of fiduciary duty, negligence, negligent misrepresentation regarding the activity in the account. Claim alleges that respondent provided false information and did not allow the client to access the account online.