Tag Archives: Kenneth Leopold Williams

WestPark Capital Terminates Broker For Violating Policy

October 04, 2018  |   Posted by :   |   Stockbroker Fraud, Stockbroker Fraud News   |   0 Comments

Kenneth Leopold Williams of Staten Island New York a stockbroker formerly registered with WestPark Capital Inc. has been terminated by the firm on May 24, 2017 based upon accusations that Williams failed to conform to WestPark Capital’s policies. Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that this is not the first time that Williams […]

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FINRA Arbitration Claim Against First Standard Financial For Unauthorized Trading

April 11, 2017  |   Posted by :   |   Boilerroom, Stockbroker Fraud News, Unauthorized Trading   |   0 Comments

Kenneth Leopold Williams, of Staten Island, New York, a stockbroker formerly registered with First Standard Financial Company LLC, has been named in a customer initiated investment related written complaint on January 5, 2017, in which the customer requested $100,000.00 in damages based upon allegations that Williams utilized the customer’s margin without consent, and effected unauthorized […]

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