Category: Western International Securities

Jeffrey Thomas Higgins (CRD#: 2871443) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 1997 and previously worked with Financial West Group (FINRA expelled the firm in 2020), and Western International Securities, Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority […]

Christopher Booth Kennedy (CRD#:4498061) was a previously registered broker and investment advisor. Broker’s History He entered the securities industry in 2002 and previously worked with RBC Dain Rauscher Inc.; Multi-Financial Securities Corporation; Financial West Group; and Western International Securities. Allegations of Misconduct According to publicly available records released by the U.S Securities and Exchange Commission […]

Mark Katz (CRD#: 3055019) is a registered broker and investment advisor with Western International Securities, Inc., in Pasadena, CA. Broker’s History He entered the securities industry in 1998 and previously worked with Fortress Financial Group, LTD.; M.L Stern & Co., LLC; and Hilltop Securities Inc. Current and Past Allegations of Conduct Leading to Investment Loss […]

Western Internation Securities, Inc., (CRD#: 39262) is registered brokerage firm and investment advisor firm in Pasadena, CA. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority (FINRA), In November 2022, Western entered into an AWC with FINRA through which the firm consented to findings that (i) from 2013 to […]

Jeffrey Thomas Higgins (CRD#: 2871443) was a previously registered broker and investment advisor. Broker’s Background He entered the securities industry in 1997 and previously worked with Financial West Group (FINRA expelled the firm in 2020), and Western International Securities, Inc. Allegations of Misconduct According to publicly available records released by the Financial Industry Regulatory Authority […]

Christopher B. Kennedy (CRD#: 4498061) is a previously 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 (FINRA Expelled this firm); Multi-Financial Securities Corporation; and RBC Dain Rauscher Inc.   Allegations of Misconduct According […]

Michaela Rauscher (CRD#: 5399032) is a registered Broker and Investment Adviser at Western International Securities, Inc., in Westlake Village, CA. Broker’s Background She entered the securities industry in 2007 and previously worked for Merrill Lynch, Pierce, Fenner & Smith, Inc. Current And Past Allegations Of Conduct According to publicly available records released by the Financial […]

Larry Burton (CRD#: 4297802) is a registered Broker and an Investment Adviser at Western International Securities, Inc., in Westlake Village, CA. Broker’s Background He entered the securities industry in 2000 and previously worked for Citigroup Global Markets, Inc.; Citicorp Investment Services; and Merrill Lynch Pierce Fenner & Smith, Inc. Current And Past Allegations Of Conduct […]

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 […]

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 […]