Tag Archives: Westport Capital Markets LLC

Westport Resources Fires Broker For Violating Confidentiality Policy

January 19, 2019  |   Posted by :   |   Stockbroker Fraud News   |   0 Comments

Samuel Kent Van Allen of Westport Connecticut a stockbroker formerly registered with Westport Resources Investment Services Inc. has been terminated by the firm on March 23, 2017 during the time that Westport Resources Investment Services investigated Van Allen for utilizing confidential customer information in violation of the firm’s policies. Financial Industry Regulatory Authority (FINRA) Public […]

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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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SEC Charges Westport Capital With Securities Fraud

August 17, 2018  |   Posted by :   |   Excessive Markups, Stockbroker Fraud News   |   0 Comments

Christopher Edward McClure of New York New York the president and chief executive officer of Westport Capital Markets LLC (a dually registered investment advisor and brokerage firm) has been charged by Securities Exchange Commission (SEC) in a Complaint along with Westport alleging that McClure and the firm defrauded their advisory customers. Securities and Exchange Commission […]

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Westport Capital Broker Barred In Investigation

May 29, 2018  |   Posted by :   |   Forgery, Stockbroker Fraud News   |   0 Comments

Emil John Skyba of Westport Connecticut a stockbroker formerly registered with Westport Capital Markets LLC has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he obstructed a FINRA investigation into accusations that he altered customer account documents. Letter of Acceptance Waiver and […]

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