Articles Tagged with Western International Securities

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $50,000.00 on September 23, 2025.

Unsuitable recommendation of corporate bonds in 2018.

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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, INC. at the time of the activity.  If you have been a victim of Higgins’s alleged misconduct our firm may be able to assist you in recovering funds.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on September 23, 2025.

Misappropriation of funds.

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

FINRA BrokerCheck shows a pending customer complaint on September 05, 2025.

Recommendation of unsuitable investment in GWG L bond in August 2019.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on March 03, 2023.

Unsuitability; Negligence

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $300,000.00 on March 14, 2023.

Misrepresentation; Unsuitable Recommendations

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on March 23, 2023.

Negligent Misrepresentation

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According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) broker Efrain Trujillo (Trujillo), previously associated with Western International Securities, INC., has been subject to at least 2 disclosable events. These events include one customer complaint, one regulatory event. Several of those complaints against Trujillo  concern allegations of high frequency trading activity also referred to as churning or excessive trading among other securities laws violations.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $30,750.00 on April 02, 2023.

Complaint regarding non-payment of promissory note and potential excessive trading.

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

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on May 24, 2023.

Unsuitability; Misrepresentation

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $105,000.00 on July 30, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2019

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

FINRA BrokerCheck shows a pending customer complaint with a damage request of $65,000.00 on July 30, 2025.

Unsuitable sale of GWG Holdings, Inc. L bonds in 2019 and 2020

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