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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Charles Roth | 842763 | 9 | 07/09/1998 | Customer Dispute | Settled | $5,270.00 | $0.00 | See FINRA Report |
| Dennis John Deyoung | 1499001 | 3 | 12/16/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Craig Gordon Johnson | 721657 | 15 | 01/09/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Anthony Richard Stella | 435090 | 2 | 07/02/1996 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Michael Scott Amico | 2420410 | 2 | 11/27/1995 | Customer Dispute | Settled | $36,572.50 | $0.00 | See FINRA Report |
| Douglas Cy Waisner | 1280998 | 6 | 09/09/1994 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| Patrick McGrath | 1251254 | 11 | 06/07/1994 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Rooney | 852679 | 7 | 11/10/1993 | Customer Dispute | Settled | $165,000.00 | $0.00 | See FINRA Report |
| Thomas Charles Rooney | 852679 | 7 | 10/21/1993 | Customer Dispute | Settled | $18,376.00 | $0.00 | See FINRA Report |
| Craig Gordon Johnson | 721657 | 15 | 10/21/1993 | Customer Dispute | Settled | $14,810.00 | $0.00 | See FINRA Report |