Western International Securities Tag Archives

Broker Christopher Polimeni in Western International Securities, INC. Firm Has Customer Complaint

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Polimeni (Polimeni), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polimeni 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 $1,600,000.00 on April 16, 2025.

Customer alleged that financial professional converted customer’s assets by transferring them to a foundation.

Broker Antoine Abi Nader in Western International Securities, INC. Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antoine Abi Nader (Abi Nader), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abi Nader 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 $500,000.00 on May 17, 2024.

Customer alleges that investment recommendation was unsuitable and misrepresented.

There are Recent Customer Complaints with Broker Thomas Hartfield in Firm Western International Securities, INC.

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hartfield (Hartfield), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hartfield 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 $400,000.00 on July 18, 2024.

Customer alleges that an investment recommendations were unsuitable.

Broker David Karin in Western International Securities, Inc. Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

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 one disclosable event. These events include one customer complaint, alleging that Karin 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 $75,000.00 on March 21, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Broker Hiroshi Mizutani in Western International Securities, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hiroshi Mizutani (Mizutani), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mizutani 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 $200,000.00 on July 30, 2024.

Customer alleges that investment recommendation was unsuitable and misleading.

Broker Gaylord Rohloff in Western International Securities, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaylord Rohloff (Rohloff), currently associated with Western International Securities, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rohloff 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 $350,000.00 on July 31, 2024.

Client claims investment was unsuitable.

Broker John Egan in Western International Securities, Inc. Firm Has Customer Complaint

March 23, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Egan (Egan), previously associated with Western International Securities, Inc., has at least 6 disclosable events. These events include 6 customer complaints, 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 $5,000.00 on September 06, 2024.

Customer alleges that an investment recommendation was unsuitable.

Broker David Glienke in Western International Securities, Inc. Firm Has Customer Complaint

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Glienke (Glienke), currently associated with Western International Securities, Inc., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Glienke 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 $200,000.00 on September 11, 2024.

Customer alleges that an investment recommendation was unsuitable and misleading.

There are Recent Customer Complaints with Broker Heath Goldstein in Firm Western International Securities, Inc.

March 21, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Heath Goldstein (Goldstein), previously associated with Western International Securities, Inc., has at least 7 disclosable events. These events include 7 customer complaints, alleging that Goldstein 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 $40,000.00 on September 11, 2024.

1.) Investment recommendation in GWG L Bonds was unsuitable and misleading\, 2.) Breach of written contract\, 3.) Breach of fiduciary duty to act in best interest\, 4.) Failure to supervise\, 5;) misrepresentatives & omission\, 6.) Negligence and gross negligence\, 7.) Violation of federal securities laws\, 8.) Violation of FINRA Rules\, 9.) Violation of Pennsylvania Securities Act of 1072\, 10.) Violation of regulation best interest

Broker Carolyn Wyatt in Western International Securities, Inc. Firm Has Customer Complaint

March 9, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Carolyn Wyatt (Wyatt), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Wyatt 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 $198,037.00 on October 21, 2024.

Client claims the rep failed to conduct a reasonable due diligence on the security.