Westpark Capital

There are Recent Customer Complaints with Broker Miguel Rivera in Firm Westpark Capital, INC.

March 8, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Miguel Rivera (Rivera), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Rivera 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 $100,000.00 on February 13, 2021.

Client alleges rep recommended trades that were not suitable and breach of fiduciary duty

There are Recent Customer Complaints with Broker Stephen Sloane in Firm Westpark Capital, INC.

February 11, 2026 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Stephen Sloane (Sloane), previously associated with Westpark Capital, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Sloane concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint on July 01, 2021.

Client is alleging unsuitable recommendations and churning treasuries.

There are Recent Customer Complaints with Broker Joseph Sanders in Firm Westpark Capital, INC.

February 1, 2026 | by Staff Attorney

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.

Broker Barbara Meyers in Westpark Capital, INC. Firm Has Customer Complaint

January 24, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Barbara Meyers (Meyers), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Meyers 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 $50,000.00 on September 16, 2021.

According to a disclosure by Crown Capital Securities, the customer alleges lack of proper due diligence, lack of suitability and overconcentration in regards to an investment in an alternative product.

Broker Lawrence Fawcett in Westpark Capital, INC. Firm Has Customer Complaint

January 13, 2026 | by Staff Attorney

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 among other allegations and complaints.

FINRA BrokerCheck shows a final customer complaint on May 27, 2022.

Respondent Fawcett failed to comply with an arbitration award or settlement agreement or to satisfactorily respond to a FINRA request to provide information concerning the status of compliance.

There are Recent Customer Complaints with Broker Kim Kunz in Firm Westpark Capital, INC.

January 3, 2026 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kim Kunz (Kunz), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Kunz recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on November 20, 2025.

Claimants allege that between December 2017 and September 2024, the representative recommended an unsuitable investment (Aspen House DST) that was inconsistent with their risk tolerance and objectives, and that he failed to conduct adequate due diligence or disclose risks. Claimants further allege misrepresentations, omissions, breach of fiduciary duty, negligence, and violations of Reg BI and California securities laws. Alleged damages are less than $500,000.

Broker Daniel Joyce in Westpark Capital, INC. Firm Has Customer Complaint

November 4, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Daniel Joyce (Joyce), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Joyce 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 $65,000.00 on October 12, 2022.

Customer alleged that his investment in GWG was unsuitable based on his risk tolerance.

Broker Gary Madrid in Westpark Capital, INC. Firm Has Customer Complaint

October 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gary Madrid (Madrid), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Madrid recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on August 13, 2025.

Customer alleges that the recommendation to purchase GWG bonds constituted a breach of fiduciary duty, negligence and violations of Reg BI.

Broker Darryl Goldstein in Westpark Capital, INC. Firm Has Customer Complaint

October 7, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Darryl Goldstein (Goldstein), previously associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Goldstein recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $25,000.00 on September 06, 2025.

Customer alleges that in or about December 2022 the representative recommended and processed a $25,000 NYIAX 12% convertible note and made assurances that an IPO was imminent; customer alleges non-payment of principal and interest and seeks repayment.

There are Recent Customer Complaints with Broker Adam Brown in Firm Westpark Capital, INC.

September 21, 2025 | by Staff Attorney

According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Adam Brown (Brown), previously associated with Westpark Capital, INC., has been subject to at least one disclosable event. These events include one customer complaint. Several of those complaints against Brown concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $351,987.66 on February 13, 2023.

Suitability and Churning, Breach of Fiduciary Duty, Breach of Contract, Unauthorized Trading, Negligence, Misrepresentation and Omission of Facts, Lost Opportunity, and Punitive Damages during the time period of August 2015 through March 2022