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 |
|---|---|---|---|---|---|---|---|---|
| Hsien Lin | 3131802 | 1 | 09/24/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| James York Bacigalupi | 1344914 | 7 | 09/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| David Brock Whitson | 3178318 | 7 | 06/05/2018 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Alex Boyd Mathis | 2235598 | 5 | 05/17/2018 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Rodney Joseph Viloria | 2476786 | 2 | 02/26/2018 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| John Driscoll | 5766256 | 1 | 02/09/2018 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Patrick McGrath | 1251254 | 11 | 12/29/2017 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| David Brock Whitson | 3178318 | 7 | 11/21/2017 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jeffrey Dwight Brandeen | 2894744 | 6 | 11/08/2017 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Jorey T Bernstein | 1808647 | 2 | 08/16/2017 | Customer Dispute | Settled | $3,000,000.00 | $0.00 | See FINRA Report |