Goodman & Nekvasil P.A., May Recover Investor Losses – Kenneth Leopold Williams (Kenneth Williams) Permitted to Resign from WestPark Capital, Inc.
From February 2017 until Kenneth Williams’ resignation in June 2017, Kenneth Williams was licensed with WestPark Capital, Inc. Kenneth Williams is now licensed with Fordham Financial Management, Inc and also worked for J.H. Darbie & Co., Inc. and First Standard Financial Company LLC. According to FINRA records, Kenneth Williams resigned from WestPark Capital, Inc. on May 24, 2017. WestPark Capital, Inc. reported to FINRA that Kenneth Williams was terminated for failing to follow firm policies. Kenneth Williams had also been fired by a previous firm for failing to follow firm policy as outlined in the written supervisory procedures, as amended.
FINRA reports that a complaint was filed, alleging an unauthorized trade and unauthorized use of margin. This complaint involving Kenneth Williams’ conduct with First Standard Financial, LLC is pending and seeks $100,000 in damages.
FINRA also reports that a previous arbitration claim was filed alleging failure to follow instructions relating to equity trades. This claim involving Kenneth Williams’ conduct was settled for $90,000, with Kenneth Williams contributing $10,000 to the settlement.
If you lost any money on investments with Kenneth Williams, you may be able to recover your losses from WestPark Capital, Inc., Fordham Financial Management, Inc., J.H. Darbie & Co., Inc. and/or First Standard Financial Company LLC. This is because WestPark Capital, Inc., Fordham Financial Management, Inc., J.H. Darbie & Co., Inc. and First Standard Financial Company LLC had a duty to supervise Kenneth Williams.
If you lost money on investments with Kenneth Williams and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action against WestPark Capital, Inc., Fordham Financial Management, Inc., J.H. Darbie & Co., Inc. and/or First Standard Financial Company LLC concerning Kenneth Williams’ conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee. Unless you recover any money, you pay us nothing, not even the costs and expenses which the firm will advance on your behalf.
Kalju Nekvasil, Esq., formerly regional counsel with the NASD, now known as FINRA, has practiced in this area of the law for more than 35 years. Goodman & Nekvasil, P.A. has recovered more than $300 million on behalf of victimized investors. If you lost money on investments with Kenneth Williams and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
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