Tag Archives: Pacific West Securities Inc.

Pacific West Broker Sanctioned For Selling Away

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 […]

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Pacific West Securities Named In Customer Securities Arbitration

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 […]

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Pacific West Securities Sued For Unsuitable Recommendations

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 […]

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Pacific West Securities Named In FINRA Securities Arbitration

January 26, 2017  |   Posted by :   |   Securities Arbitration Claims, Stockbroker Negligence   |   0 Comments

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 […]

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