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Category: Western International Securities

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Western International Securities Sanctioned by FINRA For Failure to Supervise

According to FINRA, Western International Securities has been a member since 1995. The company’s main office is located in Pasadena, CA, and there are roughly 140 branch offices where more than 450 registered representatives are employed. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Financial Advisor Efrain Trujillo Suspended by FINRA

Efrain Trujillo (CRD#: 3106482) is a previously registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 1998 and previously worked for Western International Securities, Inc.; Financial West Group; and SRM Securities, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss According to publicly available records released by the Financial […]

Financial Advisor Christopher B. Kennedy Has Disclosed Ten Customer Complaints

Christopher B. Kennedy (CRD#: 4498061) was a dually registered Broker and Investment Advisor. Broker’s Background He entered the securities industry in 2002 and previously worked for Western International Securities, Inc.; Spartan Capital Securities, LLC; Financial West Group; Multi-Financial Securities Corporation; and RBC Dain Rauscher, Inc. Current And Past Allegations Of Conduct Leading To Investment Loss […]

SEC Investigation Pending Against Western International Securities Financial Advisor Thomas Swan

Thomas Swan (CRD#: 1698430) is a dually registered Broker and Investment Advisor at Western International Securities, Inc. in Westlake Village, CA. Broker’s Background He entered the securities industry in 1987 and previously worked for Financial West Group; WM Financial Services, Inc.; Great Western Financial Securities, Corp.; SunAmerica Securities, Inc.; IFG Network Securities, Inc.; Sentra Securities […]

Peter Steege, Financial Advisor at Western International Securities in Denver, Colorado

Peter Steege (CRD # 1060713) is a Financial Advisor at Western International Securities in Denver, Colorado. Peter Steege has been in the securities industry since 1982 and previously worked at Sands Brothers and Global Capital Securities. “The Wolper Law Firm recently filed an arbitration claim against Western International Securities based upon alleged sales practice misconduct […]

Western International Securities, Inc. Broker, David Bibo, Has Had Four Customer Complaint Disclosures Since May 2019

David Bibo (CRD # 2602436) is a Financial Advisor at Western International Securities, Inc. in San Jose, CA. David Bibo has been in the securities industry since 1995 and previously registered with Myclearing.com, Interfirst Capital Corporation, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. According to publicly available records released by the Financial Industry Regulatory […]

Former Western International Securities Broker, Dennis Mehringer, Barred By FINRA

Dennis Mehringer, Jr. (CRD # 722569) was a Financial Advisor at Western International Securities in Pasadena, California. Dennis Mehringer has been in the securities industry since 1981 and previously worked at First Allied Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on Octobner 18, 2019, Dennis Mehringer was barred […]

Financial Advisor, John Rosas Jaramillo, Discharged By Western International Securities For “Selling Away”

John Rosas Jaramillo (CRD # 2659263) was a Financial Advisor at Western International Securities, Inc. in Westlake Village, CA. John Jaramillo has been in the securities industry since 1996 and previously worked for Financial West Group and PFS Investments, Inc. John Jaramillo is not currently registered as a broker. According to publicly available records released […]

Western International Securities Financial Advisor, Stuart Godin, Has Eight Customer Complaint Disclosures

Stuart Myles Godin (CRD # 223476) is a Financial Advisor at Western International Securities, Inc. in Los Angles, CA. Stuart Godin has been in the securities industry since 1961 and previously worked at Financial West Group, RBC Capital Markets, LLC, Citigroup Global Markets Inc., Morgan Stanley, Prudential Securities, Bear, Stearns, Oppenheimer and Merrill Lynch. According […]

Western International Securities Broker, Doron Kochavi, Has Pending Customer Complaint, Alleging $4 Million In Damages

  Doron Kochavi (CRD #1011155) is a Financial Advisor at Western International Securities in Pasadena, California. Doron Kochavi has been in the securities industry since 1981 and previously worked at UBS Financial Services and JP Morgan Securities. According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), on October 17, 2019, a […]