January 2020-Westport, CT The FINRA records of Daniel H. Morris, a stockbroker who was formerly employed by Oppenheimer and Co. disclose prior customer disputes. The Financial Industry Regulatory Authority (FINRA) is the agency…
read moreFebruary 2018- Ft. Lauderdale, FL The FINRA records of Patrick Henry Maddren, a stockbroker with Westpark Capital, who was formerly employed by Dawson James Securities and Laidlaw & Company, disclose a settled customer dispute and…
read moreMarch 2019- Warwick, New York/Boca Raton, FL The FINRA records of Harry Seth Datys, a stockbroker who is currently employed by Westpark Capital , disclose three regulatory events, 3 pending customer disputes, 13 prior…
read moreUPDATE MARCH 2017-Deerfield Beach, FL Public records disclose that on March 8, 2017, in an action filed by the U.S. Commodity Futures Trading Commission in the U.S. District Court for…
read moreBoca Raton, Florida UPDATE APRIL 2017-FINRA records indicate that FINRA arbitration 16-0849, described below, was settled in February 2017 for $295,000. ORIGINAL POST JUNE 2016 According to FINRA records, Sean W.…
read moreJune 2, 2015-Boca Raton, FL David James LeDoux , entered into a Letter of Acceptance Waive and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA) to resolve allegations that he failed…
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