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 |
|---|---|---|---|---|---|---|---|---|
| Kerry M Moy | 1295255 | 4 | 02/25/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James York Bacigalupi | 1344914 | 7 | 01/05/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Avraham Isaac Ziv | 2749711 | 1 | 11/04/2020 | Customer Dispute | Denied | $5,000.00 | $0.00 | See FINRA Report |
| Thomas Brian Swan | 1698430 | 9 | 08/31/2020 | Customer Dispute | Settled | $1,300,000.00 | $0.00 | See FINRA Report |
| David Brock Whitson | 3178318 | 7 | 07/21/2020 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Jose Orlando Castillo | 5507723 | 2 | 04/09/2020 | Customer Dispute | Settled | $391,901.00 | $0.00 | See FINRA Report |
| Mark Katz | 3055019 | 4 | 02/18/2020 | Customer Dispute | Denied | $357,000.00 | $0.00 | See FINRA Report |
| Mark Katz | 3055019 | 4 | 02/13/2020 | Customer Dispute | Settled | $50,000.00 | $0.00 | See FINRA Report |
| Jennifer Pauline Frew | 5849464 | 3 | 12/01/2019 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Eric Daniel Silvestre | 3171573 | 3 | 10/18/2019 | Customer Dispute | Settled | $5,000.00 | $0.00 | See FINRA Report |