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Recent Posts in Financial West Group Category

Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses

FINRA barred former Financial West Group (Los Angeles, CA) broker Sean J Waters for excessive trading in his elderly client's individual and IRA accounts with reckless disregard for his senior ...
Continue reading "Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses" »

FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations

FINRA barred former Financial West Group and Western International Securities (both Los Angeles, California) broker Paul Edward Soll for refusing to cooperate with an investigation involving trading ...
Continue reading "FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations" »

FINRA Bars Victor Michel for Failing to Cooperate with Investigation

FINRA barred former Financial West Group (FWG) broker Victor Michel for failing to provide requested testimony to FINRA as part of the regulator's investigations into allegations of sales practice ...
Continue reading "FINRA Bars Victor Michel for Failing to Cooperate with Investigation" »

SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints

A Securities Litigation & Consulting Group (SLCG) study ranked brokerage firms based on broker complaint history, finding that nearly one quarter of all brokers employed by Aegis Capital Corp and ...
Continue reading "SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints" »

Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses

One month and four days after filing a complaint alleging that Kelly Clayton Althar made unsuitable recommendations and excessively traded an elderly client's account at Financial West Group in ...
Continue reading "Ex-Financial West Group Broker Kelly Clayton Althar Barred for Unsuitably Risky and Excessive Trading in Elder Client's Account that Resulted in $187,000 in Losses" »

Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts

FINRA filed a complaint alleging that former Financial West Group (San Francisco) and Paulson Investment Company (Novato, CA) broker Kelly Clayton Althar made unsuitable recommendations and ...
Continue reading "Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts" »

Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm

FINRA fined and suspended Victor Michel, formerly of Financial West Group in Westlake Village, CA, for using his personal non-firm e-mail account for correspondence with a firm customer concerning ...
Continue reading "Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm" »

Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment

FINRA suspended Michael Jay Strasser (CRD# 1456856), formerly of Mill Valley, California's Financial West Group, and fined him $2500 for failing to disclose a judgment against him on multiple ...
Continue reading "Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment" »

Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities

FINRA barred former Financial West Group broker Steven Robert Aron of Agoura Hills, California after allegedly soliciting investments for private securities while failing to notify his employing firm ...
Continue reading "Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities" »
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