Daniel Keith Beech of Westlake Village, California, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested compensation based upon allegations that Beech was negligent and made misrepresentations of material fact in connection with the sale of corporate bonds during the time that Beech was associated with Western International Securities Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 23-01014 (April 21, 2023).
FINRA Public Disclosure shows that Beech is referenced in thirteen other customer initiated investment related disputes concerning Beech’s conduct while associated with securities broker dealers, including Western International Securities Inc. On January 28, 2020, a customer initiated investment related civil action involving Beech’s conduct was settled for $10,000.00 in damages based upon allegations that Beech made unsuitable recommendations of real estate investment trusts. Civil Action No. 19VESC05080.
On November 30, 2021, a different customer initiated investment related complaint involving Beech’s conduct was settled for $62,500.00 in damages based upon allegations that Beech recommended investments which poorly performed.
Beech is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $1,000,000.00 in damages based upon allegations that Beech made unsuitable recommendations of corporate bonds. FINRA Arbitration No. 22-02367 (October 18, 2022).
On November 3, 2022, another customer filed an investment related FINRA securities arbitration claim involving Beech’s conduct in which the customer requested compensation based upon allegations that Beech was negligent in connection with the recommendation and sale of corporate bonds. FINRA Arbitration No. 22-02474.
Beech is also referenced in a customer initiated investment related FINRA securities arbitration claim in which the customer requested $150,000.00 in damages based upon allegations that Beech made unsuitable recommendations and made misrepresentations and omissions of material fact in connection with the sale of corporate debt products. FINRA Arbitration No. 22-01689 (November 7, 2022).
On January 11, 2023, a customer filed an investment related FINRA securities arbitration claim involving Beech’s conduct in which the customer requested compensation based upon allegations that Beech made unsuitable recommendations and was negligent in connection with the sale of corporate bonds. FINRA Arbitration No. 23-00061.
Beech’s stockbroker and investment advisor representative registrations with Western International Securities Inc. were terminated on March 9, 2022. He has been registered with Innovation Partners LLC as a stockbroker since March 4, 2022, and registered with IP Financial Advisory Services LLC as an investment advisor representative since March 3, 2022.
