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 |
|---|---|---|---|---|---|---|---|---|
| Thomas Brian Swan | 1698430 | 9 | 06/28/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Alex Boyd Mathis | 2235598 | 5 | 06/01/2023 | Customer Dispute | Settled | $311,959.00 | $0.00 | See FINRA Report |
| Craig Gordon Johnson | 721657 | 15 | 05/23/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Patrick Michael Egan | 2973478 | 5 | 05/11/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Michaela Rauscher | 5399032 | 3 | 05/04/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Brian Swan | 1698430 | 9 | 04/10/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Nancy Ellen Cole | 2900724 | 3 | 03/23/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Shomir Mukherjee | 4121898 | 4 | 03/06/2023 | Customer Dispute | Settled | $99,999.00 | $0.00 | See FINRA Report |
| Gaylord Wesley Rohloff | 1542216 | 10 | 03/03/2023 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |
| Hagop Jack Nalbandian | 2921246 | 8 | 12/23/2022 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |