Anthony Baker Liddle (also known as Tony B. Liddle) of Oshkosh, Wisconsin, a stockbroker formerly registered with Landolt Securities and Western International Securities, has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on findings that Liddle refused to comply with the regulator during an investigation into Liddle’s…

Bradley Carl Mascho of Frederick, Maryland, a stockbroker formerly registered with Western International Securities Inc., is referenced in a customer initiated investment related FINRA securities arbitration claim which was settled for $55,000.00 in damages supported by accusations of Mascho’s unsuitable trading in the customer’s account concerning exchange-traded funds while Mascho was registered with Western International…

Mark Katz, of San Diego, California, a stockbroker formerly registered with Hilltop Securities Inc., is the subject of a customer initiated investment related written complaint on February 18, 2020, where the customer sought $357,000.00 in damages supported by accusations of breach of fiduciary duty and misrepresentation by Katz concerning the customer’s investments at Hilltop Securities….

Efrain Balderrama Trujillo, of Los Angeles, California, a stockbroker formerly registered with Western International Securities Inc., was discharged by the securities broker dealer on October 26, 2021, supported by accusations that he borrowed money from a customer. Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that Trujillo has been fined $20,000.00 and barred from…

Bradley Carl Mascho of Frederick Maryland a stockbroker formerly registered with Western International Securities Inc. is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $125,000.00 in damages founded upon accusations that they had been placed into unsuitable exchange traded funds by Mascho when he was associated…

Clement Lancelot Chichester (also known as Clement Ignatius Chichester) of Westlake Village California a stockbroker formerly registered with Western International Securities Inc. is referenced in a customer initiated investment related FINRA securities arbitration claim where the customer requested between $250,000.00 and $500,000.00 in damages supported by accusations that the customer received bad investment advice from…

Edmund Roger Zack of New York New York a stockbroker formerly registered with Aegis Capital Corp has been fined $10,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Zack made unsuitable recommendations to Aegis customers and made excessive trades in their…

Brittney Jade Sias (also known as Rosalie P. Sias) of Westlake Village California a stockbroker formerly registered with Western International Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested up to $500,000.00 in damages based upon allegations of bad investment advice concerning non-traded real estate investment trusts…

John Rosas Jaramillo of Westlake Village California a stockbroker formerly employed by Western International Securities Inc. has been fined $5,000.00 and suspended for five months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by findings that Jaramillo engaged in private securities transactions involving the sale of securities in Woodbridge…

Bradley Carl Mascho of Frederick Maryland a stockbroker formerly associated with Western International Securities has been barred by Securities and Exchange Commission (SEC) from being a stockbroker or investment adviser representative or otherwise associating with any securities broker dealers or investment advisories according to an SEC Order based on findings that Mascho pled guilty to…

Elizabeth Ann Morrell of Westlake Village California a stockbroker formerly employed by Western International Securities has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based on findings that she declined to cooperate with a FINRA investigation regarding allegations of her sales of promissory notes relating to Woodbridge Group…

Dennis Albert Mehringer Jr. of Pasadena California a stockbroker formerly registered with Western International Securities is the subject of a Financial Industry Regulatory Authority (FINRA) National Adjudicatory Council Decision which affirmed a FINRA Extended Hearing Panel’s barring of Mehringer from associating with any FINRA member in any capacity based upon findings that (1) Mehringer effected…

Margareta Theresia Childs (also known as Margareta Theresia Klopf) of Western International Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity supported by allegations that she failed to cooperate with FINRA’s request for information. Case No. 2019061958901 (Sept. 20, 2019). According to FINRA Public Disclosure, Childs…

Stuart Myles Godin (also known as Stu Godin) of Los Angeles California a stockbroker employed by Western International Securities Inc. has been discharged on April 6, 2020 based upon allegations that Godin borrowed funds from a Western International Securities customer. Godin is the subject of seven customer initiated investment related disputes pertaining to allegations of…

Dennis Albert Mehringer Jr. of Pasadena California a stockbroker formerly registered with Western International Securities Inc. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity founded on accusations that Mehringer refused to comply with FINRA’s investigation into whether he effected trades that were unsuitable for customers of Western…

Clement Lancelot Chichester (also known as Clement Ignatius Chichester) of Westlake Village California a stockbroker formerly registered with Western International Securities Inc is referenced in a customer initiated investment related arbitration claim which was settled for $100,000.00 in damages founded on accusations that (1) misrepresentations and omissions were made to the customer concerning the terms…

Brittney Jade Sias (also known as Rosalie P. Sias) of Westlake Village California a stockbroker formerly registered with Western International Securities Inc. is referenced in a customer initiated investment related arbitration claim which was settled for $100,000.00 in damages supported by accusations that (1) false or misleading statements and omissions had been made by Sias…

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…

Henry S. Veit (also known as Hank Veit) of Manlius New York a stockbroker formerly employed by Western International Securities Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $225,000.00 in damages founded on accusations of suitability and breach of fiduciary duty pertaining to the customer’s municipal…

Shail Vithaldas Mehta of Westlake Village California a stockbroker currently registered with Western International Securities Inc. is the subject of a customer initiated investment related civil action which settled for $97,500.00 in damages founded on accusations that (1) false statements concerning securities were made to the customer (2) fiduciary duties were breached and (3) the…

Western International Securities Inc. is a brokerage firm headquartered in Pasadena California who has been censured and fined one hundred twenty five thousand dollars by Financial Industry Regulatory Authority (FINRA) based upon accusations that it failed to create and implement adequate supervisory procedures and systems for purposes of making sure that non-traditional exchange traded fund…

Clement Lancelot Chichester, of Westlake Village, a stockbroker formerly registered with Western International Securities, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he failed to cooperate in a FINRA investigation into accusations of his improper handling of a customer’s money….