You may be able to sue Lampert Capital Markets if you lost money with William Slattery. Slattery was associated with Lampert until April 25th, 2016 when he was “permitted to resign in connection with his receipt of ‘fees related to unapproved outside business activity.’” According to his Letter of Acceptance, Waiver and Consent (AWC) with the Financial Industry Regulatory Authority (FINRA), William Slattery allegedly engaged in outside business activities without providing notice to his firm from November 2015 until April 2016. He also failed to disclose a tax warrant on his Form U4. For this misconduct, he was fined $12,500 and suspended from the industry for five months. A registered broker must not engage in outside business activities while he is registered with his firm. If he does, his firm may be liable for investment losses. We sue firms on a contingency fee basis, which means we only make money if you recover yours. We do so in the FINRA arbitration forum, so call us today for a free consultation to find out how.
Before being registered with Lampert, William Patrick Slattery was registered with John McKeown, Blackford Securities, Sanders Morris Harris, Grace Financial Group, Silver Leaf Partners, The Griswold Company, WJB Capital Group, Spencer Trask Ventures, Bonwick Capital Partners, and Lampert Capital Markets in New York, New York from January 2014 until May 2016. He is not currently registered as a broker within the industry.
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