According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kennedy (Kennedy), previously associated with Western International Securities, Inc., has at least 2 disclosable events. These events include 2 regulatory, alleging that Kennedy recommended unsuitable investments in different investment products including debt securities among other allegations…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Western International Securities, Inc., has at least 4 disclosable events. These events include 4 customer complaints, alleging that Karin recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Swan (Swan), currently associated with Western International Securities, Inc., has at least 5 disclosable events. These events include 5 customer complaints, alleging that Swan recommended unsuitable investments in different investment products including debt securities among other…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Oswaldo Ramos (Ramos), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Ramos recommended unsuitable investments in different investment products including debt securities among other…
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Jeffrey Higgins (Higgins) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Higgins was employed by Western International Securities,…
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Kennedy (Kennedy), previously associated with Western International Securities, Inc., has at least 2 disclosable events. These events include 2 regulatory, alleging that Kennedy recommended unsuitable investments in different investment products including debt securities among other allegations…
The law offices of Gana Weinstein LLP are currently investigating claims that advisor Jeffrey Higgins (Higgins) has been accused by multiple investors of engaging in fraudulent misappropriation of their funds. Higgins was barred by a regulator for engaging in undisclosed investment activities including undisclosed outside business activities (OBAs). According to…
Advisor Heath Goldstein (Goldstein), currently employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least 9 disclosures and customer complaints. According to a BrokerCheck report the customer complaints concern alternative investments such as direct participation products (DPPs) like business development companies (BDCs), non-traded real…
Advisor Megurditch Patatian (Patatian), formerly employed by brokerage firm Western International Securities, Inc. (Western International) has been subject to at least 13 disclosures of which nine are customer complaints, three are employment terminations for cause, and one is a regulatory action. According to a BrokerCheck report several of the customer…
The attorneys at Gana Weinstein LLP are investigating BrokerCheck records reports that broker Doron Kochavi (Kochavi), currently employed by Western International Securities, Inc. (Western International) has been subject to at least six customer complaints during the course of his career. According to records kept by The Financial Industry Regulatory Authority…