Skip to Content

Toll Free 888-527-3427

Local 818-760-9880

Top

Financial West Group

Most Recent Posts in Financial West Group

Oct 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
Read More
Jun 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"
Read More
Oct 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
Read More
Sep 27, 2019 Margareta Childs Barred Following Fraud Complaint, Failure to Cooperate with Investigation
Read More
Dec 2, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
Read More
Jul 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
Read More
Nov 9, 2017 FINRA Bars Victor Michel for Failing to Cooperate with Investigation
Read More
Oct 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
Read More
Feb 14, 2017 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
Read More

1 / 2