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Recent Posts in Western International Securities Category

Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr.

On May 6, 2019, the Law Offices of Jonathan W. Evans & Associates filed a Statement of Claim and Demand for Arbitration against Western International Securities, Inc. and its former broker Dennis ...
Continue reading "Jonathan W. Evans & Associates Announces Filing of FINRA Arbitration Claim Against Western International Securities & Dennis Albert Mehringer, Jr." »

Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study

On the heels of FINRA's January 2019 complaint charging former Wedbush Securities broker William Mark Heiden of Southern California with unauthorized trading in elderly clients' brokerage ...
Continue reading "Broker Bonuses and Forgivable Loans - When Brokers Place Personal Profits Above Client Interests, a William Mark Heiden Case Study" »

Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds

The Law Offices of Jonathan W. Evans & Associates is investigating FINRA broker Dennis Albert Mehringer Jr., formerly of Western International Securities in Pasadena, California, for ...
Continue reading "Law Offices of Jonathan W. Evans & Associates Investigating Dennis Albert Mehringer for Suitability, Overconcentration into Risky Bonds" »

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 to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms

In a video segment, A Few Minutes with FINRA, Executive Vice President and Head of FINRA Member Regulation Mike Rufino introduced the regulator's High-Risk Registered Representative Program, in ...
Continue reading "FINRA to Flag Brokers as High-Risk Due to Association with Recidivist Reps, Fraudulent Firms" »

Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate

FINRA barred former Western International Securities broker Bradley Carl Mascho for refusing to cooperate with an investigation into SEC allegations that he aided and abetted DJB Holdings aka ...
Continue reading "Linked to Dawn Bennett $20 Million Fraud Investigation, FINRA Bars Bradley Mascho for Failing to Cooperate" »

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-Western International Securities Brokers Brittney J Sias, Clement Chichester Barred by FINRA

FINRA barred former Western International Securities, Inc. brokers Brittney Jade Sias and Clement Lancelot Chichester of the firm's Westlake Village, California branch for failing to cooperate ...
Continue reading "Ex-Western International Securities Brokers Brittney J Sias, Clement Chichester Barred by FINRA" »

Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate

FINRA suspended former Western International Securities (Pasadena, California) broker Murray Gerard Monroe and fined him $15,000 for failing to disclose that he had been named executor of a firm ...
Continue reading "Murray Monroe Sanctioned for Failing to Disclose Appointment as Executor of Customer's Estate" »
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The Law Offices of Jonathan W. Evans & Associates - California Securities Fraud Attorney
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