Articles Tagged with Richard Westerman

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Westerman (Westerman), previously associated with Northwest Investment Advisors, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Westerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Sales practices

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Richard Westerman (Westerman), previously associated with Northwest Investment Advisors, INC., has at least one disclosable event. These events include one customer complaint, alleging that Westerman recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint on April 06, 2020.

Sales practices

Continue Reading
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