Articles Tagged with Western International Securities

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Sean Mahoney (Mahoney), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Mahoney 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 $100,000.00 on April 12, 2021.

Breach of Contract

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Bradley Mascho (Mascho), previously associated with Western International Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Mascho 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 $125,000.00 on June 01, 2021.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Alfredo Yanes (Yanes), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Yanes 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 July 08, 2021.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Jed Tinder (Tinder), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Tinder 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 December 01, 2021.

Unsuitability

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Corey White (White), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that White 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Kathleen Bradley (Bradley), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Bradley 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 $16,440,221.00 on February 16, 2022.

Failure to Supervise

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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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