Former Roseville, California financial advisor Phillip Anderson (CRD# 814936) was recently suspended and fined in connection with alleged rule violations....
Read MoreDaniel Joyce: GWG L Bond Complaint Against WestPark Advisor
New York City financial advisor Daniel Joyce (CRD# 1112928) allegedly provided misleading information regarding investments in GWG L bonds, according to a recent investor complaint. Records maintained by the Financial Industry Regulatory Authority indicate that he is a broker and an investment advisor with WestPark Capital.
Mr. Joyce’s BrokerCheck report discloses one investor complaint. Filed in October 2022, it alleges that as a representative of WestPark Capital, he “made numerous false and misleading statements” to the customer regarding an investment in GWG Holdings-issued L bonds, about which he allegedly “failed to disclose numerous material facts.” The pending complaint alleges damages of $65,000.
A second disclosure included in Mr. Joyce’s BrokerCheck report describes his 2018 termination from SCF Securities. According to the disclosure, the firm fired him in connection with allegations he admitted to impersonating a customer with the customer’s consent.
According to the Financial Industry Regulatory Authority, Daniel Joyce holds 39 years of securities industry experience. Based in New York, New York, he has been a broker and an investment advisor with WestPark Capital since 2018. His past registrations include SCF Securities (New York, New York; 2016-2018), LPL Financial (New York, New York; 1998-2017), Guardian Investor Services Corporation (New York, New York; 1991-1998), Chris Securities (1983-1991), WS Griffith & Company (1985-1986), and Personal Economics Securities Corporation (1983-1984). His credentials include the passage of six securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the Direct Participation Programs Representative Examination, or Series 22; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Combined State Law Examination, or Series 66. He is licensed in Arizona, California, Connecticut, Florida, New Jersey, New York, Pennsylvania, and Texas. (Information current as of January 29, 2023.)
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