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WestPark Capital

January 17, 2024 WestPark Capital Broker Mitchell Morrison Sanctioned for Unauthorized Private Securities Transactions; WestPark Fined Too
July 26, 2023 Westpark Capital's Nicholas Tocco Sanctioned for AML Compliance, Supervisory Failures
November 29, 2021 WestPark Capital Sanctioned for Misrepresentations in $3.9 Million Promissory Note Sales
December 09, 2020 FINRA Charges Gregory McCloskey aka Gregory Meier with Covering Up Improper Private Securities Transaction (PST) with a Second Improper PST
July 29, 2020 Fired Morgan Stanley Broker Stephen Sloane Under Investigation for Unsuitable Recommendations in Quickly Trading Long-Term Investments
April 03, 2018 In Wake of Unsuitable Recommendations Action, FINRA Bars Lawrence John Fawcett for Failing to Cooperate with Outside Business Activities Investigation