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WestPark Capital

January 21, 2025 WestPark Capital Broker Matthew Turner Cited for Violating Regulation Best Interest by Excessively Trading Senior Customer Accounts
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 28, 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