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K. C. Ward Financial

Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe

Darryl Cohen-Former Morgan Stanley Broker-Abuses NBA Player Accounts-Barred From Securities Industry – Westlake Village, CAe 150 150 Rex Securities Law

Darryl Cohen-Misappropriation From NBA Player Accounts    April 2023-Westlake Village, C A The FINRA records of Darryl Cohen,  a former stock broker who was last employed in the industry by Morgan Stanley…

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Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute

Patrick C. Gugliotta-Former K.C. Ward Broker-Discloses Pending Customer Dispute 150 150 Rex Securities Law

July 2016-Ronkonkoma, NY According to publicly available records Patrick C. Gugliotta  , (CRD# 5033421) ,  a   stockbroker who was formerly employed by K.C. Ward Financial, discloses a  pending customer dispute. The Financial Industry…

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Carlos N. Evertsz-Seda-K.C. Ward Financial Broker-Discloses Customer Dispute

Carlos N. Evertsz-Seda-K.C. Ward Financial Broker-Discloses Customer Dispute 150 150 Rex Securities Law

January 2016-Ronkonkoma, NY According to publicly available records Carlos N. Evertsz-Seda  , (CRD# 4285605) ,  a   stockbroker who is currently employed by K.C. Ward Financial, discloses a  pending customer dispute. The…

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Joseph F. Comiskey-K.C. Ward Financial Broker-Discloses Customer Dispute & Outstanding Liens

Joseph F. Comiskey-K.C. Ward Financial Broker-Discloses Customer Dispute & Outstanding Liens 150 150 Rex Securities Law

August 2016- Ronkonkoma, NY The FINRA records of Joseph F. Comiskey, Jr. ,  a  stock broker who is currently  employed by K. C. Ward Financial  disclose  a currently pending customer dispute, 2 prior customer disputes,…

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Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry

Craig D. Dima-Former K.C. Ward Financial Broker-Barred From Securities Industry 150 150 Rex Securities Law

June 2017- Ronkonkoma, NY The FINRA records of Craig D. Dima ,  a former  stock broker who was last employed by K. C. Ward Financial  disclose 3 prior regulatory events,  5 prior customer disputes, 2…

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Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments

Thomas J. Briguccia-K.C. Ward Financial Broker-Discloses Customer Disputes & Outstanding Judgments 150 150 Rex Securities Law

August 2016- Ronkonkoma, NY The FINRA records of Thomas J. Briguccia, Jr. ,  a  stock broker who is currently  employed by K. C. Ward Financial  disclose 3 currently pending customer disputes, a6 prior customer disputes…

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