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 customer’s equity portfolio was negligently handled. Civil Action No. 16CV03050 (Oct. 25, 2016).

FINRA Public Disclosure additionally reveals that on November 10, 2003, a customer filed an investment related complaint regarding Mehta’s conduct while registered with Financial West Group, where the customer requested $10,000.00 in damages based upon allegations of suitability, poor performance and lack of communication relating to the customer’s mutual fund holdings.

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