Gary Alan Meier of Vancouver Massachusetts a stockbroker and investment advisor representative formerly employed by Pacific West Securities Inc. and Pacific West Financial Consultants Inc. is referenced in a Consent Order issued by the Washington State Department of Financial Institutions Securities Division in which Meier has been fined and suspended from engaging in investment advisory…
William Madison Swayne II, of Seattle, Washington, a stockbroker formerly registered with Pacific West Securities, Inc., has been named in a customer initiated investment related arbitration claim, in which a customer was awarded $1,134,911.49 in damages on November 16, 2016, based upon allegations that Swayne made misrepresentations and omissions to the customer, and negligently handled…
Frederick Peter Baerenz, of Great Falls, Virginia, a stockbroker formerly registered with Pacific West Securities, Inc., has been named in a customer initiated investment related arbitration claim, in which customers were collectively awarded $331,000.00 in damages on July 11, 2016, based upon allegations including misrepresentation, unsuitability, fraud, breach of contract, and violation of SEC Rule…
Robert Alden Cannon, of Issaquah, Washington, a stockbroker formerly registered with Pacific West Securities, Inc., has been named in a customer initiated investment related arbitration claim on December 16, 2014, in which the customer requested $175,000.00 in damages based upon allegations that Cannon negligently handled the customer’s investment account, committed violations of FINRA Rule 2111…