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 |
|---|---|---|---|---|---|---|---|---|
| Dayanara Rojas | 6009693 | 6 | 09/13/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| James York Bacigalupi | 1344914 | 7 | 08/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jennifer Pauline Frew | 5849464 | 3 | 08/28/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jennifer Pauline Frew | 5849464 | 3 | 08/24/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Daniel Silvestre | 3171573 | 3 | 08/14/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steven Farley Richards | 1484496 | 3 | 08/13/2019 | Customer Dispute | Denied | $15,000.00 | $0.00 | See FINRA Report |
| Timothy Podell | 2691011 | 4 | 06/04/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Kerry M Moy | 1295255 | 4 | 05/17/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Jessie Chen | 5418844 | 1 | 05/17/2019 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Dayanara Rojas | 6009693 | 6 | 03/15/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |