Securities Lawyers Blog
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 April 2018, a customer complained that Steinberg engaged in unsuitable investments causing $39,796 in damages. The claim was denied by the firm.
In November 2016, a customer complained that Steinberg engaged in unsuitable investments from December 2012 until February 2015 causing $16,833 in damages. The claim was denied by the firm.