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 |
|---|---|---|---|---|---|---|---|---|
| Gerald Charles Roth | 842763 | 9 | 07/09/1998 | Customer Dispute | Settled | $5,270.00 | $0.00 | See FINRA Report |
| Robert Vincent Sessa | 1026924 | 5 | 01/20/1998 | Customer Dispute | Denied | $2,000.00 | $0.00 | See FINRA Report |
| Donald Alan Johnson | 1091451 | 3 | 01/02/1998 | Customer Dispute | Denied | $71,750.00 | $0.00 | See FINRA Report |
| Dennis John Deyoung | 1499001 | 3 | 12/16/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Gaylord Wesley Rohloff | 1542216 | 10 | 10/16/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Victor Scott Delucie | 1735031 | 2 | 08/21/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Lance Robert Terry | 7555368 | 1 | 08/03/1997 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Michael Scott Amico | 2420410 | 2 | 05/27/1997 | Customer Dispute | Award / Judgment | $1,275.00 | $1,275.00 | See FINRA Report |
| Dennis John Deyoung | 1499001 | 3 | 03/31/1997 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Alexander John Nweeia | 2377227 | 1 | 01/09/1997 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |