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Articles Tagged with over-concentration

Kevin Richard Wilson (CRD #326701) is a registered broker currently employed with National Securities Corporation (CRD #7569) of New York, NY. His previous employers include Laidlaw & Company (UK) LTD. (CRD #119037), Aegis Capital Corp. (CRD #15007) and Gilford Securities Incorporated (CRD #8076), all of New York, NY. He has been in the industry since 1999.

Why Private Placements are Often Risky and Unsuitable Investments on silverlaw.comWilson has two disclosures, both pending customer disputes that were filed this year. The first was filed on 10/24/2018, alleging “unsuitability” from 2010 through 2017. The client requests damages of $2,000,000.00.

The second disclosure was filed on 07/09/2018, alleging over-concentration and unsuitability from 2009 through 2017. This client requests damages of $457,000.00.

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