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 |
|---|---|---|---|---|---|---|---|---|
| Ernest Bernard Arnold | 1754119 | 3 | 06/21/1999 | Customer Dispute | Award / Judgment | $291,600.00 | $291,600.00 | See FINRA Report |
| Gerald Kurt Kempa | 1789042 | 2 | 04/29/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Clayton Lee | 2530066 | 1 | 04/13/1999 | Customer Dispute | Award / Judgment | $25,000.00 | $75,000.00 | See FINRA Report |
| Vedran Joseph Nazor | 1001006 | 3 | 04/08/1999 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Linda Anne Wenker | 1264847 | 4 | 02/17/1999 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Gerald Kurt Kempa | 1789042 | 2 | 01/20/1999 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Ernest Bernard Arnold | 1754119 | 3 | 10/29/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gerald Charles Roth | 842763 | 9 | 09/25/1998 | Customer Dispute | Settled | $10,226.70 | $0.00 | See FINRA Report |
| Frederick Morton Woolley | 1444168 | 5 | 08/28/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Frederick Morton Woolley | 1444168 | 5 | 07/16/1998 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |