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 |
|---|---|---|---|---|---|---|---|---|
| Cesar Augusto Garcia | 4389804 | 2 | 06/08/2015 | Customer Dispute | Settled | $203,239.00 | $0.00 | See FINRA Report |
| Hagop Jack Nalbandian | 2921246 | 8 | 06/05/2015 | Customer Dispute | Settled | $90,000.00 | $0.00 | See FINRA Report |
| Gregory Paul Holmes | 1851743 | 3 | 05/01/2015 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Kazuyo Deguchi | 4395244 | 1 | 05/01/2015 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick McGrath | 1251254 | 11 | 04/21/2015 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Craig Gordon Johnson | 721657 | 15 | 03/10/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Steve Cheol Kim | 4537269 | 1 | 02/23/2015 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Shomir Mukherjee | 4121898 | 4 | 02/13/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Michael Craig Welch | 3060732 | 1 | 01/16/2015 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Andrew Martz | 5118326 | 1 | 11/13/2014 | Customer Dispute | Denied | $26,000.00 | $0.00 | See FINRA Report |