Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 7, 2018 indicate that Florida-based Westpark Capital broker/adviser Marc Steinberg has received customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Steinberg (CRD# 2549670).
Marc Steinberg has spent 23 years in the securities industry and has been registered with Westpark Capital in Boca Raton, Florida since 2016. Previous registrations include Dawson James Securities in Boca Raton, Florida (2006-2016); National Securities Corporation in Boca Raton, Florida (2003-2006); Gilford Securities in New York, New York (1998-2003); and Joseph Stevens & Company in Brooklyn, New York (1995-1998). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 1, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 27, 1994; Series 7 (General Securities Representative Examination), which he obtained on November 1, 1994; and Series 24 (General Securities Principal Examination), which he obtained on February 14, 1996. He is a registered broker and investment adviser with 12 US states and territories: California, Colorado, Connecticut, Florida, Georgia, New Jersey, New Mexico, New York, Oregon, Pennsylvania, Texas, and Wisconsin.
According to his BrokerCheck report, he has received two customer complaints and three denied customer complaints.
In April 2018 a customer alleged Marc Steinberg, while employed at Dawson James, recommended unsuitable investments. The customer sought more than $39,700 in damages in the complaint, which was denied.
In November 2018 a customer alleged Marc Steinberg, while employed at Dawson James, made unsuitable investment recommendations. The complaint settled for more than $16,800.
In 2006 a customer alleged Marc Steinberg, while employed at National Securities Corporation, breached his fiduciary duty, recommended unsuitable investments, misrepresented material facts, and acted negligently. The complaint resulted in an award to the customer of $7,300.
In 2002 a customer alleged he, while employed at Gilford Securities, provided poor service and poor advice, and failed to follow sell instructions. The customer sought $20,000 in damages in the complaint, which was denied.
In 1998 a customer alleged he, while employed at Joseph Stevens & Company, failed to execute sales orders in accordance with written instructions. The complaint settled for more than $16,400.
If you or someone you know has lost money investing with Marc Steinberg, call the experienced attorneys at 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.