How to Bring a Claim Against Former Westpark Capital, Inc. Broker Gregory Ricker

Posted on Thursday, December 19th, 2019 at 9:55 am    

Westpark Capital, Inc. logo

Were you the victim of former Westpark Capital, Inc. broker Gregory Ricker (CRD# 1834893)? Ricker was registered with Westpark Capital, Inc. in Boca Raton, Florida from 2013 to 2019.

In August 2019, FINRA suspended Ricker indefinitely after he failed to respond to FINRA request for information.

Ricker has been the subject of eight customer complaints between 2000 and 2019, one of which was denied, according to his CRD report. Recent complaints are regarding:

July 2019. “Churning & Unsuitable Trading.” The customer sought $200,000 in damages and the case was settled for $22,500. The complaint took place while Ricker was registered with WestPark Capital Inc. and was regarding common and preferred stocks.

March 2019. “Breach of Fiduciary, failure to supervise,” The customer is seeking $860,000 in damages and the case is currently pending. The case was regarding selling away and took place while Ricker was registered with WestPark Capital Inc.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, FIRM may be liable for investment or other losses suffered by Ricker’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

Disclaimer: Clients are responsible for costs. Contingency fee is calculated before deducting costs incurred in the case.