Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on May 28, 2018 indicate that former Georgia-based Cape Securities broker Jerry Westling has received resolved or pending customer complaints. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Westling (CRD# 464074).
Jerry Westling has spent 42 years in the securities industry and was most recently registered with Cape Securities in McDonough, Georgia (2018). Previous registrations include Cape Securities in McDonough, Georgia (2015-2016); Dempsey Lord Smith in Savannah, Georgia (2012-2015); Sammons Securities Company in Tybee Island, Georgia (2002-2012); Walnut Street Securities in El Segundo, California (1997-2002); Washington Square Securities in Des Moines, Iowa (1992-1997); Pruco Securities Corporation in Newark, New Jersey (1991-1992); the Prudential Insurance Company of America in Newark, New Jersey (1991-1992);1991-1992); Summit Investment Corporation in Minneapolis, Minnesota (1989-1991); Merrill Lynch in New York, New York (1978-1990); Miller & Schroeder Financial in Minneapolis, Minnesota (1988-1989); Summit Investment Corporation in Minneapolis, Minnesota (1987-1988); Craig-Hallum (1984-1987); Dain Bosworth (1982-1984); Dean Witter Reynolds (1979-1982); Merrill Lynch (1974-1978); and Shearson Hammill & Company (1973-1974). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 1, 1980; Series 5 (Interest Rate Options Examination), which he obtained on December 12, 1981; and Series 1 (Registered Representative Examination), which he obtained on November 8, 1973. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and two unsatisfied tax liens.
In March 2018 a customer alleged Jerry Westling, while employed at Cape Securities, recommended an unsuitable variable annuity investment. The customer is seeking unspecified damages in the pending complaint.
In 2012 the Internal Revenue Service filed a tax lien totaling $94,739 against him. The lien remains outstanding.
In 2012 the Minnesota Department of Revenue filed a tax lien totaling $6,561 against him. The lien remains outstanding.
In 1984 a customer alleged Jerry Westling, while employed at Craig-Hallum, misrepresented and omitted material facts related to an unsuitable investment recommendation. The complaint resulted in an award to the customer of $46,110.
If you or someone you know has lost money investing with Jerry Westling, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.