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 |
|---|---|---|---|---|---|---|---|---|
| Albert Vincent Pette | 1423862 | 2 | 03/20/2009 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Linda Jane Oleson | 1789629 | 4 | 03/16/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gerald Charles Roth | 842763 | 9 | 02/25/2009 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Jen Yung Lee | 2029561 | 1 | 02/24/2009 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Clifford Newton Gamble | 2539401 | 15 | 02/10/2009 | Customer Dispute | Settled | $608,481.00 | $0.00 | See FINRA Report |
| Kenneth David Eversfield | 4176227 | 2 | 02/10/2009 | Customer Dispute | Closed-No Action | $225,000.00 | $0.00 | See FINRA Report |
| Clifford Newton Gamble | 2539401 | 15 | 02/08/2009 | Customer Dispute | Settled | $3,083,800.00 | $0.00 | See FINRA Report |
| Robert Steven Wilkinson | 1180321 | 1 | 01/29/2009 | Customer Dispute | Settled | $17,200,000.00 | $0.00 | See FINRA Report |
| Clifford Newton Gamble | 2539401 | 15 | 12/30/2008 | Customer Dispute | Settled | $147,000.00 | $0.00 | See FINRA Report |
| Walter Allan Huber | 1760163 | 3 | 12/17/2008 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |