Articles Tagged with Westpark Capital

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Dukes (Dukes), currently associated with Westpark Capital, INC., has at least one disclosable event. These events include one customer complaint, alleging that Dukes 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 $366,000.00 on February 26, 2026.

Claimants allege that the October 17, 2024 purchase of a Delaware Statutory Trust (DST) real estate investment in connection with a 1031 exchange was unsuitable for their investment objectives and risk tolerance, and that the investment was misrepresented as conservative and low risk. Claimants further allege inadequate due diligence on the investment and its sponsor, material misrepresentations and omissions, failure to disclose risks, breach of fiduciary duty, negligence, and failure to supervise.

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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 $1.00 on March 18, 2026.

Customer alleges that the firm, through its registered representative, recommended and sold unsuitable GWG Holdings, Inc. L-Bonds, a high-risk, illiquid alternative investment, and failed to conduct reasonable due diligence, misrepresented or omitted material risks, and failed to adequately supervise such recommendations. Claimants seek unspecified damages, interest, attorneys\\u2019 fees, and costs. The firm denies the allegations and intends to defend the matter. The arbitration is currently pending.

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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

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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.

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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.

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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.

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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.

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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.

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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.

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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.

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