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Kenneth Williams: Was Terminated From One Former Employer

Kenneth Williams

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) on April 4, 2017 indicate that New York-based Westpark Capital broker/adviser Kenneth Williams has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Williams (CRD# 2304212).

Kenneth Williams has spent 22 years in the securities industry and has been registered with Westpark Capital in New York, New York since February 2017. Previous registrations include First Standard Financial Company in Staten Island, New York; Blackbook Capital in New York, New York; PHX Financial in New York, New York; John Thomas Financial in New York, New York; Legend Merchant Group in New York, New York; International Assets Advisory in Orlando, Florida; Spartan Capital Securities in New York, New York; Garden State Securities in New York, New York; Sterling Financial Investment Group in Boca Raton, Florida; Joseph Stevens & Company in Brooklyn, New York; Investec Ernst & Company in New York, New York; GKN Securities in New York, New York; IAR Securities in New York, New York; VTRP Capital in New York, New York; LT Lawrence & Company in New York, New York; AR Baron & Company in New York, New York; Sharpe Capital in New York, New York; WJ Nolan & Company in New York, New York; Meyers Pollock Robbins in New York, New York; Kensington Wells; Commonwealth Associates in New York, New York; Berkeley Securities in New York, New York; and Emanuel & Company in New York, New York. He is a registered broker and investment adviser with 38 US states and territories.

According to his BrokerCheck report, Kenneth Williams has received one customer complaint and one pending customer complaint, and was terminated from one former employer.

In January 2017, a customer alleged Kenneth Williams, while employed at First Standard Financial, executed an unauthorized trade and used margin without authorization. The customer is seeking $100,000 in damages in the pending complaint.

In 2009 a customer alleged Kenneth Williams, while employed at Legend Merchant Group, failed to follow instructions. The complaint settled in 2011 for $90,000.

In 2007 he was terminated from his position at Legend Merchant Group following allegations he failed to follow firm policy. His statement on the matter says, “I left on good accord and now they have re-hired me based on past performance.”

If you or someone you know has a complaint regarding Kenneth Williams, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be able to recover lost funds. Fitapelli Kurta accepts all cases on contingency: we only get paid if and when you collect money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.

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