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The Investor’s Watchdog

The Investor's Watchdog
Thursday, July 30, 2020 FINRA Files Complaint against Westpark Capital Broker Alleging Unsuitable Treasury Recommendations Author: Jason T. Albin

On July 20, 2020, the Financial Industry Regulatory Authority (FINRA) Department of Enforcement filed a Complaint against Stephen Sloane, a registered representative associated with Westpark Capital, Inc. in New York, New York since March 2016. FINRA alleges in the Complaint that Sloane recommended fourteen retail customers engage in active, short-term trading of U.S. Treasuries with […]