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 |
|---|---|---|---|---|---|---|---|---|
| Craig Gordon Johnson | 721657 | 15 | 01/09/1997 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Frederick Morton Woolley | 1444168 | 5 | 11/12/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Nickalus Christopher Ketcham | 4110686 | 1 | 09/21/1996 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Victor Scott Delucie | 1735031 | 2 | 07/24/1996 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Anthony Richard Stella | 435090 | 2 | 07/02/1996 | Customer Dispute | Settled | $250,000.00 | $0.00 | See FINRA Report |
| Michael Scott Amico | 2420410 | 2 | 11/27/1995 | Customer Dispute | Settled | $36,572.50 | $0.00 | See FINRA Report |
| Yocari F Lara | 6029243 | 1 | 10/24/1995 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Mark Glenn Larkin | 2021885 | 4 | 06/28/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick Morton Woolley | 1444168 | 5 | 05/12/1995 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Frederick Morton Woolley | 1444168 | 5 | 02/02/1995 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |