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 |
|---|---|---|---|---|---|---|---|---|
| Gaylord Wesley Rohloff | 1542216 | 10 | 05/23/2024 | Customer Dispute | Settled | $9,000.00 | $0.00 | See FINRA Report |
| Mark Katz | 3055019 | 4 | 02/20/2024 | Customer Dispute | Settled | $358,163.00 | $0.00 | See FINRA Report |
| Thomas Brian Swan | 1698430 | 9 | 12/28/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| David Gary Simon | 1064191 | 3 | 11/16/2023 | Customer Dispute | Settled | $150,000.00 | $0.00 | See FINRA Report |
| Steven R Graham | 1977736 | 3 | 10/24/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| John B Darmanian | 2899924 | 2 | 09/22/2023 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Talin Kalfayan | 6674529 | 1 | 08/28/2023 | Customer Dispute | Settled | $10,000.00 | $0.00 | See FINRA Report |
| Thomas Brian Swan | 1698430 | 9 | 08/28/2023 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Parker E King | 6614500 | 1 | 07/11/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Egan | 2973478 | 5 | 07/03/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |