Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that former Maryland-based Wilmington Capital Services broker/adviser Walter Clark has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Clark (CRD# 1803139).
Walter Clark has spent 28 years in the securities industry and was most recently registered with Wilmington Capital Services in Columbia, Maryland (2015-2016). Previous registrations include Adirondack Trading Group in Columbia, Maryland (2014-2015); Southeast Investments in Charlotte, North Carolina (2014); Newbridge Securities Corporation in Columbia, Maryland (2011-2014); International Financial Solutions in Columbia, Maryland (2011); Summit Brokerage Services in Columbia, Maryland (2008-2011); Westrock Advisors in Columbia, Maryland (2002-2008); Pro-Integrity Securities in Longview, Texas (2000-2002); JWGenesis Financial Services in St. Louis, Missouri (1999-2000); Gruntal & Company in New York, New York (1995-2000); Wheat First Securities in Charlotte, North Carolina (1990-1995); and the Stuart-James Company in Denver, Colorado (1988-1990). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on January 15, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 12, 1988; Series 7 (General Securities Representative Examination), which he obtained on June 18, 1988; and Series 24 (General Securities Principal Examination), which he obtained on February 29, 2000. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received four customer complaints, two pending customer complaints, and one regulatory sanction.