Tag Archives: Western International Securities

Western International Stockbroker Sentenced In Ponzi Scheme

October 14, 2019  |   Posted by :   |   Investment and Regulatory News, Ponzi Schemes, Promissory Notes   |   0 Comments

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 […]

Read More »

Western International Sanctioned For Overcharging Customers

July 23, 2019  |   Posted by :   |   Investment and Regulatory News, Mutual Fund Fraud   |   0 Comments

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 […]

Read More »

Western International Broker Barred For Obstruction

January 26, 2018  |   Posted by :   |   Investment and Regulatory News, Private Placement Fraud   |   0 Comments

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 […]

Read More »

Western Intl Broker Barred For Thwarting Investigation

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. […]

Read More »

FINRA Bars Western International Stockbroker

November 21, 2017  |   Posted by :   |   Misappropriation of Funds, Stockbroker Theft   |   0 Comments

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, […]

Read More »

Western International Securities Sued For Negligence

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 […]

Read More »

Western International Securities Stockbroker Charged by Regulators

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 […]

Read More »

Western International Securities Stockbroker Charged In Investigation

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 […]

Read More »

Bennett Group Charged with Federal Securities Fraud

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 […]

Read More »