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 | 03/15/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dayanara Rojas | 6009693 | 6 | 03/15/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dayanara Rojas | 6009693 | 6 | 03/15/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| Dayanara Rojas | 6009693 | 6 | 03/01/2019 | Financial | Pending | $0.00 | $0.00 | See FINRA Report |
| David Brock Whitson | 3178318 | 7 | 01/29/2019 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Gregory Paul Holmes | 1851743 | 3 | 01/24/2019 | Judgment / Lien | $0.00 | $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 |
| David Brock Whitson | 3178318 | 7 | 12/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| James York Bacigalupi | 1344914 | 7 | 11/27/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Mary Terese Daniel | 4539009 | 2 | 10/25/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |