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Financial West Group

December 02, 2018 Sean J. Waters Barred for Churning Senior Citizen's Retirement Accounts, Racking Up Fees and Losses
October 21, 2022 Previously Sanctioned for Excessive & Unsuitable ETP Trading, Efrain Trujillo Barred for Borrowing Money From Customers
June 16, 2021 Corey White Barred Over Supervisory & Red Flag ETP Failures at Financial West Group Because "There Were Too Many to Review"
October 17, 2019 Financial West Group (LA) Broker Daniel Maughan Barred for ETF Churning & Excessive Trading
September 27, 2019 Margareta Childs Barred Following Fraud Complaint, Failure to Cooperate with Investigation
July 12, 2018 FINRA Bars Paul Soll Over Investigation into Elder Abuse, Churning, and Unsuitable Penny Stock Recommendations
November 09, 2017 FINRA Bars Victor Michel for Failing to Cooperate with Investigation
October 25, 2017 SLCG Study Finds Aegis Capital, Newbridge Securities Employ Most Brokers with History of Complaints
February 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
January 10, 2017 Complaint Alleges Kelly Althar's Unsuitable and Excessive Trading Caused $187,000 Loss in Elderly Client's Accounts
July 29, 2016 Victor Michel Sanctioned for Using Personal E-Mail, Failure to Retain Correspondence, Settling Complaint Without Notifying Firm
June 11, 2015 Michael J. Strasser, a Broker with 22 Disclosures, Fined & Suspended for Failure to Disclose Judgment
June 21, 2013 Steven Robert Aron Barred for Failure to Disclose Information Related to Outside Business Activities