Perry Allen Gallagher Sr of Santa Rosa California a stockbroker currently employed by Western International Securities, Inc. is the subject of a customer initiated investment related written complaint on November 16, 2017 in which the customer sought $38,500.00 in damages based upon accusations that unwarranted investment losses were incurred in the customer’s account between February of 2013 and August of 2017.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Gallagher has been identified in two more customer initiated investment related disputes containing allegations of his misconduct while employed with Wedbush Morgan Securities Inc. Particularly, a customer initiated investment related complaint concerning Gallagher’s activities was resolved for $50,000.00 in damages supported by accusations that fiduciary and contractual obligations to the customer had been breached, the customer’s account had been handled in a negligent manner, and the firm failed to supervise Gallagher’s activities concerning limited partnership and over-the-counter equities held in the customer’s investment portfolio. National Association of Securities Dealers (NASD) Arbitration No. 03-08739 (June 2, 2006).
Thereafter, a customer initiated investment related arbitration claim concerning Gallagher’s conduct was settled for $72,500.00 in damages founded on allegations of fraud, misrepresentation, unauthorized trading, churning, unsuitability, and negligence pertaining to mutual fund, equity and over-the-counter equities transactions effected in the customer’s account. FINRA Arbitration No. 03-08739 (June 2, 2006).
Gallagher has been registered with Western International Securities, Inc. since November 19, 2013.
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