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Category WestPark Capital

FINRA Regulatory Complaint Filed Against Investment Adviser and Former Westpark Capital, Inc. Broker, Gregory McCloskey, for Making Private Securities Transactions

January 8, 2021

Investment adviser Gregory McCloskey (CRD#: 2820510) was employed as a broker by Westpark Capital, Inc. from 2016 until October 7, 2019, when he was permitted by the firm to resign after failing to adhere to a heightened supervision plan. Gregory McCloskey was a broker with Newport Coast Securities from 2007 until 2016. According to publicly…

Previously Registered Westpark Capital, Inc. Broker, Stephen Sloane, Has Four Customer Complaint Disclosures And Is The Subject of a Pending FINRA Investigation

December 20, 2020

Stephen Sloane (CRD # 1257601) was a Financial Advisor at Westpark Capital Securities, Inc. in New York, NY from 2016-2020. Stephen Sloane has been in the securities industry since 1984 and previously worked at Morgan Stanley, Citigroup Global Markets, Inc., Dean Witter Reynolds Inc., and Donald Sheldon & Co., Inc. According to publicly available records…

Former Park Avenue Securities Broker, Nicholas Palumbo, Permitted To Resign Following Allegations He Failed To Disclose Private Securities Transactions

December 20, 2020

Nicholas Palumbo (CRD #1069948) was a registered broker with Park Avenue Securities LLC from 1999-2020 in Armonk, NY. Nicholas Palumbo was in the securities industry from 1983-2020 and also worked for Guardian Investor Services Corporation, SMA Equities, Inc., and First Investors Corporation. On April 17, 2020 Nicholas Palumbo was permitted to resign from Park Avenue…

Former West Park Capital, Inc. and Laidlaw & Company LTD Broker, Bryan Mazliach, Investigated By FINRA For Alleged Violation Of FINRA Rules

September 15, 2020

Bryan Mazliach (CRD # 5518438) was a Financial Advisor at WestPark Capital, Inc. and Laidlaw & Company LTD in Fort Lauderdale, FL. Bryan Mazliach was also a registered broker at Rockwell Global Capital LLC and two FINRA expelled firms Charles Vista LLC and Obsidian Financial Group, LLC in New York. Bryan Mazliach was in the…

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