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.
- The latest was filed on 12/17/2017, and Seda failed to respond to FINRA’s request for information. He failed to request a termination of his suspension within three months of the date of his Notice of Suspension, so he is now automatically barred from affiliation with any FINRA member in any capacity.
Two customer complaints were filed in 2017, and both are currently pending:
- On 01/06/2017, a client alleged “unsuitable investments, market losses,” and requested damages of $100,000. Seda’s response: “applicant denies all allegations, investments were consistent with the customers stated investment objectives.”
- On 09/14/2017, a client alleged “breach of fiduciary duty,” and requested damages of $50,000.
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