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 |
|---|---|---|---|---|---|---|---|---|
| Steven Farley Richards | 1484496 | 3 | 12/29/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Parviz Paul Pourfarid | 2112613 | 3 | 01/31/1981 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Eugene Zierdt | 476524 | 2 | 09/06/1978 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Michael George Hefner | 1122799 | 1 | 04/05/1978 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Douglas Cy Waisner | 1280998 | 6 | 05/06/1976 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Thomas Charles Rooney | 852679 | 7 | 03/15/1961 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Robert Bennett Johnston | 1161633 | 4 | 11/30/-0001 | Investigation | $0.00 | $0.00 | See FINRA Report |