Category Archives: Westpark Capital

Philip Rosensweig-Former Laidlaw & Co. Broker-Discloses Numerous Customer Suits-Boca Raton, FL

January 2019- Boca Raton, FL

According to publicly available records  Philip E. Rosensweig , a stockbroker who formerly was registered with Laidlaw & Co. and who is currently employed by Westpark Capital, discloses 10 prior customer disputes.

The Financial Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms.   FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions.   In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

Prior customer disputes that were settled include FINRA Case 16-0636 in which a customer of Laidlaw & Co. alleged fraud, negligence and breach of contract from 2014-2016 and was paid a cash settlement of $45,500.

Philip Rosensweig  worked for Laidlaw &Co.  from 9/2013-9/2015.  Prior to that he was employed by International Assets Advisory.  He has been with Westpark Capital since 8/2015.

If you have questions about an investment account handled by Philip Rosensweig, contact us for a no charge consultation to learn about your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870`

Michael Polyakov- Westpark Capital Broker-Discloses Customer Disputes – Boca Raton, FL

March 2018 – Boca Raton, FL

According to publicly available records Michael Polyakov(CRD# 734810)  a  stockbroker who is currently employed by Westpark Capital  disclose 3 prior settled customer disputes .

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In FINRA Case 13-01037,  a customer of  one of Polyakov’s prior employers, International Assets Advisory,  alleged “wrongful conduct by making unsuitable investments, churning and excessive trading”.   The case was settled for  $72,500.

In NASD Case 3-0376, a customer of former employer Bear, Stearns alleged excessive trading and unsuitable recommendations as well as a failure to adequately explain the risks of trading on margin. That case was settled for $182,500.

Polyakov has been employed with WestPark Capital since January 2016. He was employed by International Assets Advisory from December 2010 to February 2012,  and with Revere Securities Corp. from February 2012 to October 2015 .

If you have questions about an account in an account handled by Michael Polyakov,  contact us for a no charge consultation to discuss your legal options for recovery.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870

Felipe Arrieta-Former Revere Securities Broker-Discloses Customer Disputes-Boca Raton, FL

February 2018- Boca Raton, FL

Felipe Arrieta, a stockbroker who is currently employed by Dakota Securities International and was formerly employed by Revere Securities,  discloses 3 prior final and 1 pending customer disputes on his publicly available FINRA record.

The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.

In 5/2007 a customer of his former employer, Newbridge Securities Corporation, alleged suitability, use of margin, unauthorized trading and breach of fiduciary duty.   That case was settled for $60,000.

In  currently pending FINRA case 170866, filed in April 2017,  a customer of Revere Securities alleges breach of fiduciary duty, breach of contract and unauthorized trading and is seeking damages  of $200,00.

Arrieta has been employed by Dakota Securities International since 7/2016. He was employed by Revere Securities  from  8/2014-8/2016.  His previous employers include Westpark Capital Bolton Global Capital, Jesup & Lamont Securities, VFinance Investments, and Newbridge Securities.  

If you have questions about an account handled by Felipe Arrieta contact us to discuss your legal options.

Rex Securities Law , with offices in Boca Raton, FL,  and  Austin, TX,   provides representation to  investors  nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers and broker dealers. If you have questions about how your account has been handled, call to speak with an experienced securities attorney.

Most cases handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.

Nationwide Representation

Rex Securities Law

TollFree: 877-224-3199

Florida-561 391 1900 

Texas-512-329-2870