Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former New York-based Lambert Capital Markets broker William Slattery has been sanctioned by FINRA in connection to alleged rule violations and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Slattery (CRD# 2390505).
William Slattery has spent 16 years in the securities industry and was most recently registered with Lampert Capital Markets in New York, New York (2014-2016). Previous registrations include Bonwick Capital Partners in New York, New York (2012-2013); Spencer Trask Ventures in Old Greenwich, Connecticut (2010-2012); WJB Capital Group in New York, New York (2010); the Griswold Company in New York, New York (2009-2010); Silver Leaf Partners in New York, New York (2004-2009); Grace Financial Group in Southampton, New York (2003-2004); Sanders Morris Harris in Houston, Texas (2000-2003); Blackford Securities in Garden City, New York (2000); and John D. McKeown & Company in New York, New York (1994). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 15, 2000; Series 65 (Uniform Investment Adviser Law Examination), which he obtained on August 19, 1996; Series 7 (General Securities Representative Examination), which he obtained on January 25, 2000; and Series 62 (Corporate Securities Limited Representative Examination), which he obtained on January 24, 1994. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has been sanctioned by FINRA and resigned from his former employer in connection to alleged rule violations.
In March 2018 FINRA sanctioned him in connection to allegations he acted in contravention of his firm’s written supervisory procedures when he participated in outside business activities without providing prior written notice. FINRA found that he had been retained by startup companies to identify and introduce them to prospective investors, for which he received approximately $45,000 in compensation. FINRA stated that he signed an annual compliance acknowledgement that he had not participated in any undisclosed outside business activities, which was inaccurate. FINRA also found that he failed to amend his Form U4 to disclose a tax warrant assessed against him by the state of New York. He was issued a 5-month suspension and a fine of $12,500.
In 2016 he was “permitted to resign” from his position at Lampert Capital Markets in connection to allegations he participated in an unapproved outside business activity and “received $13,000 in fees” in connection to a selling away violation.
If you have lost money investing with William Slattery, call Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.