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Re: samsamsamiam post# 73157

Friday, 07/25/2014 9:07:58 AM

Friday, July 25, 2014 9:07:58 AM

Post# of 223899
WestCap Securities FINRA record:

http://brokercheck.finra.org/Support/ReportViewer.aspx?SearchGroup=Firm&FirmKey=45250&BrokerKey=-1

Company is in Orange County, SoCal. No real disciplinary problems, except funny about a recent discussion here of suitability oversight. As we can see FINRA still monitors firms' practice of suitability.

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