Our Staff has compiled our research into a database of FINRA Broker Disclosures for Western International 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 |
|---|---|---|---|---|---|---|---|---|
| Mark Katz | 3055019 | 4 | 02/13/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Eric Daniel Silvestre | 3171573 | 3 | 10/18/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Steven Farley Richards | 1484496 | 3 | 08/13/2019 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Kerry M Moy | 1295255 | 4 | 12/28/2018 | Customer Dispute | Pending | $14,000,000.00 | $0.00 | See FINRA Report |
| Alex Boyd Mathis | 2235598 | 5 | 05/17/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Patrick McGrath | 1251254 | 11 | 12/29/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jeffrey Dwight Brandeen | 2894744 | 6 | 11/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorey T Bernstein | 1808647 | 2 | 08/16/2017 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |
| Sean M McGrath | 4585694 | 1 | 05/29/2017 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Flavia Dolores Lo Coco | 4845948 | 3 | 05/16/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |