Nancy Ellen Cole also known as Nancy Ellen Hall, of Sacramento, California, a stockbroker registered with Western International Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $72,000.00 in damages based upon allegations that Cole made misrepresentations of material fact in connection with the sale…
Daniel Keith Beech of Charlotte, North Carolina, a stockbroker registered with Innovation Partners LLC, is the subject of an enforcement action initiated by Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Beech based upon allegations that Beech improperly paid commissions to an unregistered person. Department of Enforcement v. Daniel Keith…
Doron Kochavi, of Pasadena, California, a stockbroker registered with Western International Securities Inc., has been fined $10,000.00 and suspended for two months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Kochavi mismarked order tickets “unsolicited.” Case No. 2021071099403 (January 16, 2024). According to the AWC, between January of 2017…
John Kevin Egan of Glendora, 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 $60,000.00 in damages based upon allegations that Egan engaged in violations of federal securities laws, made unsuitable recommendations, and made misrepresentations and omissions of…
David Wayne Karin, 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 $1,220,000.00 in damages based upon allegations that Karin made misrepresentations of material fact and made unsuitable recommendations in GWG Class L corporate…
Christopher Booth Kennedy of Woodland Hills, California, a stockbroker registered with Western International Securities, is the subject of an enforcement action initiated by the Financial Industry Regulatory Authority (FINRA) in which the regulator is seeking sanctions against Kennedy based upon allegations that Kennedy engaged in churning of customer accounts. Department of Enforcement v. Christopher Booth…
Megurditch Patatian (also known as Mike Patatian), of Westlake Village, California, a stockbroker registered with Western International Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Patatian made unsuitable recommendations to his customers. In the Matter of Department of Enforcement v. Patatian, Decision No. 2018057235801…
Shomir Mukherjee (also known as Shomir Singh), 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 $99,999.00 in damages based upon allegations that Mukherjee made unsuitable recommendations of corporate bonds when Mukherjee was associated…
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…
Fariba Zehtabian Madison of Los Alamitos, California, a stockbroker registered with Western International Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $14,999.00 in damages based upon allegations that Madison made misrepresentations of material fact in connection with the sale of corporate bonds during the…
Hagop Jack Nalbandian of Encino, California, a stockbroker registered with Western International Securities Inc., was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $108,500.00 in damages based upon allegations that Nalbandian made unsuitable recommendations of real estate investment trusts when Nalbandian was associated with Western International Securities…
Cullen David Factor (also known as David James Biberman and as Cullen Austin Factor), of Wellesley Hills, Massachusetts, a stockbroker registered with Western International Securities Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Factor failed to testify when FINRA investigated the stockbroker for possible violations…
Efrain Balderrama Trujillo of Los Angeles, California, a stockbroker registered with Western International Securities Inc., has been fined $5,000.00 and suspended for eight months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity because Trujillo borrowed from a customer. Letter of Acceptance, Waiver, and Consent No. 2021072406801 (October 14, 2022). According…
Anthony Baker Liddle (also known as Tony Liddle) of Wausau, Wisconsin, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration filed on August 26, 2022 seeking $1,755,189.31 in damages based upon allegations that Liddle stole or converted the customer’s funds during Liddle’s association with…
Corey Andrew White, of Pasadena, California, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim that was settled for $2,760,000.00 in damages based upon allegations that White failed to supervise relating to the recommendation and sale of options when…
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…
Bradley Carl Mascho of Frederick Maryland a stockbroker formerly employed by Western International Securities Inc. and former Chief Financial Officer of DJB Holdings was sentenced on August 28, 2019 to thirty months in prison for (1) conspiracy to commit securities fraud in reference to his alleged solicitation and receipt of funds from investors for purchases…
Western International Securities a securities broker deal headquartered in Pasadena California has been censured and fined $75,000.00 by Financial Industry Regulatory Authority (FINRA) based upon findings that the firm overcharged customers on mutual fund transactions placed in customers’ accounts. Letter of Acceptance Waiver and Consent No. 2017056440501 (July 16, 2019). According to the AWC, a…
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…
Bradley Carl Mascho, of Frederick, Maryland, a stockbroker formerly employed with Western International Securities, Inc., has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity by consenting to findings that he failed to testify in a FINRA investigation into accusations of Mascho’s possible fraudulent conduct, private securities transactions and…
Joe E. Tinder, of Missoula, Montana, a stockbroker currently 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 respond to FINRA’s investigation into accusations that he, inter alia, sold away from his firm….
Brittany Jade Sias of Westlake Village, 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 based upon consenting to findings that she obstructed a FINRA investigation into allegations of her improper handling of a customer’s funds. Letter of Acceptance,…
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….
Jed Edward Turner, of Missoula, Montana, a stockbroker formerly registered with Western International Securities, Inc., has been named in a customer initiated investment related arbitration claim on August 10, 2016, in which the customer requested $181,668.00 in damages based upon allegations that Turner negligently handled the customer’s stock portfolio. Financial Industry Regulatory Authority (FINRA) Public…
Dennis Albert Mehringer Jr., of Pasadena, California, a stockbroker currently registered with Western International Securities, Inc., was charged by Financial Industry Regulatory Authority (FINRA) in a Complaint alleging that Mehringer, inter alia, made investment recommendations which were not suitable for customers. Department of Enforcement v. Mehringer, Jr., No. 2014041868001 (Dec. 16, 2016). According to the…
Dawn Bennett, of Washington, District of Columbia, a stockbroker formerly associated with Western International Securities, has been charged by Financial Industry Regulatory Authority (FINRA) Department of Enforcement in a Complaint alleging that Bennett failed to cooperate in a FINRA investigation into allegations that she potentially engaged in unauthorized private securities transactions or selling away, committed…
The Securities and Exchange Commission brought an action against Bennett Group and its founder Dawn J. Bennett for federal securities fraud. Bennett and most employee associated with the Bennett Group are registered representatives of with Western International Securities, Inc. According to the SEC’s allegations, Bennett, made material misstatements and omissions regarding assets that were purportedly…