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Articles Tagged with K.C. Ward Financial

Carlos Evertsz-Seda is barred from association with any FINRA member in any capacity.  Respondent failed to request termination of his suspension within three months of the date of the Notice of Suspension; therefore, he is automatically barred from association with any FINRA member in any capacity. Carlos Evertsz-Seda was employed by K.C. Ward Financial in Ronkonkoma, NY from 2010 – May 2017.  Mr. Evertsz-Seda is the subject of two securities arbitration claims for damages due to unsuitable investments.  K.C. Ward Financial is a Long Island based brokerage firm owned by Louis Ward.

Contact Our Firm if You’ve Invested with Carlos Evertsz-Seda

If you invested with Carlos Evertsz-Seda and believe you have lost money due to his misconduct, you may be able to file a claim to recover your losses through FINRA arbitration. For a free evaluation of your potential case by as securities attorney, please contact Silver Law Group.

FINRA has barred Carlos Nestor Evertsz-Seda (aka Carlos Nextor Evertsz, CRD# 4757897.) He is a previously registered broker, and is not currently registered with any FINRA member. His last place of employment was K.C. Ward Financial (CRD# 145135) of Ronkonkoma, NY from 03/05/2010 to 05/09/2017. Seda also worked for K.C. Ward Financial from 02/28/2008 to 09/23/2008. He also worked for J.P. Turner & Company, L.L.C. (CRD# 43177) prior to his tenure at K.C. Ward Financial, from 10/04/2006 to 03/26/2008.

Seda is the subject of two FINRA actions, both of which resulted in suspensions.

  • The first was filed on 5/2/2014, when it was discovered that Seda was involved in two outside business ventures without notifying his employer, and getting the employer’s permission to engage in the activities. One transaction netted Seta $10,000. He was fined $5,000 and suspended for one month, and signed an Acceptance, Waiver and Consent (AWC) letter without affirming or denying the allegations.
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