Articles Tagged with Westpark Capital

Marc SteinbergPublicly 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.

Lawrence FawcettPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on June 25, 2018 indicate that former California-based Westpark Capital broker Lawrence Fawcett, who was recently sanctioned by FINRA and barred from acting as a broker, has received pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Fawcett (CRD# 5851474).

Lawrence Fawcett has spent 5 years in the securities industry and has been registered with Westpark Capital in Los Angeles, California (2015-2018). Previous registrations include Salomon Whitney Financial in Farmingdale, New York (2013-2015); Rockwell Global Capital in Melville, New York (2013); John Thomas Financial in New York, New York (2013); Rockwell Global Capital in New York, New York (2012-2013); and EKN Financial Services in Melville, New York (2012). He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint, three pending customer complaints, and two FINRA sanctions.

Patrick MaddrenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Florida-based Westpark Capital broker Patrick Maddren has received a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Maddren (CRD# 4665903).

Patrick Maddren has spent 13 years in the securities industry and has been registered with Westpark Capital in Fort Lauderdale, Florida since August 2017. Previous registrations include Laidlaw & Company in Fort Lauderdale, Florida (2012-2017); Dawson James Securities in Boca Raton, Florida (2009-2012); Prestige Financial Center in New York, New York (2007-2009); Great Eastern Securities in New York, New York (2005-2007); Sky Capital in New York, New York (2004-2005); and SW Bach & Company in Port Washington, New York (2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker in Florida.

According to his BrokerCheck report, he has received one customer complaint and two unsatisfied tax liens.

Victor SibillaPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 16, 2017 indicate that Arizona-based Westpark Capital broker Victor Sibilla has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sibilla (CRD# 1783361).

Victor Sibilla has spent 29 years in the securities industry and has been registered with Westpark Capital in Scottsdale, Arizona since 2010. Previous registrations include Source Capital group in Scottsdale, Arizona; Scottsdale Capital Advisors in Scottsdale, Arizona; Newbridge Securities Corporation in Scottsdale, Arizona; Sterling Financial Investment Group in Boca Raton, Florida; Joseph Charles & Associates in Boca Raton, Florida; VTR Capital in New York, New York; RAF Financial Corporation in Denver, Colorado; and the Stuart-James Company in Denver, Colorado. He is a registered broker with 24 US states and territories.

According to his BrokerCheck report, he has received four customer complaints and one pending customer complaint.

Philip RosenzweigPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on March 24, 2017 indicate that Florida-based Westpark Capital broker Philip Rosenzweig has been the subject of several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Rosenzweig (CRD# 1125274).

Philip Rosenzweig has spent 33 years in the securities industry and has been registered with Westpark Capital in Boca Raton, Florida since 2015. Previous registrations include Laidlaw & Company in Fort Lauderdale, Florida; International Assets Advisory in Orlando, Florida; Maxim Group in Boca Raton, Florida; Dawson James Securities in Boca Raton, Florida; RF Lafferty & Company in New York, New York; Gunnallen Financial in Parkland, Florida; Cantella & Company in Boston, Massachusetts; and Raymond James Financial Services in St. Petersburg, Florida. He is a registered broker with eighteen US states and territories.

According to his BrokerCheck report, he has received four customer complaints and three pending customer complaints.