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 |
|---|---|---|---|---|---|---|---|---|
| Cedric Levye | 5495885 | 2 | 11/18/2013 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Nazeeh I Aranki | 5433745 | 2 | 06/27/2013 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Brian Harry Schwartz | 4414183 | 2 | 05/06/2013 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Patrick McGrath | 1251254 | 11 | 04/01/2013 | Customer Dispute | Settled | $5,840.00 | $0.00 | See FINRA Report |
| Norma Manlapaz Cunanan | 2986369 | 4 | 04/01/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sandi Y Chui | 2612557 | 2 | 03/12/2013 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Vedran Joseph Nazor | 1001006 | 3 | 10/17/2012 | Customer Dispute | Settled | $82,000.00 | $0.00 | See FINRA Report |
| David Wayne Karin | 2486154 | 6 | 08/27/2012 | Customer Dispute | Denied | $53,117.40 | $0.00 | See FINRA Report |
| David Wayne Karin | 2486154 | 6 | 08/27/2012 | Customer Dispute | Settled | $100,000.00 | $0.00 | See FINRA Report |
| James York Bacigalupi | 1344914 | 7 | 08/14/2012 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report |