Our Staff has compiled our research into a database of FINRA Broker Disclosures for Westminster Financial Securities, Inc.. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Marvin Joseph Sneider | 1063322 | 3 | 05/09/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Peter Charles Bittermann | 4153389 | 5 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Marvin Joseph Sneider | 1063322 | 3 | 07/23/2018 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| John Lane Obrien | 2238455 | 4 | 04/17/2018 | Customer Dispute | Settled | $15,000.00 | $0.00 | See FINRA Report |
| John Lane Obrien | 2238455 | 4 | 10/11/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Marvin Joseph Sneider | 1063322 | 3 | 07/14/2017 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Stuart Charles Brazie | 2214285 | 1 | 01/27/2017 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| John Lane Obrien | 2238455 | 4 | 05/03/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John Lane Obrien | 2238455 | 4 | 03/22/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Edward Martin Goldberg | 2214416 | 2 | 08/25/2015 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |