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 |
|---|---|---|---|---|---|---|---|---|
| Stephen Joseph Perrone | 703726 | 1 | 06/24/2016 | Customer Dispute | Award / Judgment | $3,000,000.00 | $1,758,000.00 | See FINRA Report |
| Gregory Paul Holmes | 1851743 | 3 | 05/28/2016 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Douglas Eugene Zierdt | 476524 | 2 | 05/04/2016 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Barrick Allyn Smart | 829239 | 4 | 01/19/2016 | Customer Dispute | Settled | $139,790.00 | $0.00 | See FINRA Report |
| William John McBride | 3124160 | 5 | 01/19/2016 | Customer Dispute | Settled | $7,000.00 | $0.00 | See FINRA Report |
| William John McBride | 3124160 | 5 | 01/14/2016 | Customer Dispute | Denied | $31,000.00 | $0.00 | See FINRA Report |
| James York Bacigalupi | 1344914 | 7 | 12/14/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jorey T Bernstein | 1808647 | 2 | 12/09/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Brian Harry Schwartz | 4414183 | 2 | 06/19/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Russell Wayne Ketron | 268772 | 4 | 06/11/2015 | Customer Dispute | Settled | $300,000.00 | $0.00 | See FINRA Report |