Christopher Warren Polimeni (Christopher W Polimeni, Chris Polimeni) is currently registered with WESTERN INTERNATIONAL SECURITIES, INC. of Irvine, California. Christopher W Polimeni is registered both as a broker and as an investment advisor with WESTEREN INTERNATIONAL SECURITIES since 8/21/2017. Before Western International, Polimeni was registered with FINANCIAL WEST GROUP of Irvine, California from 06/03/2002 - 08/21/2017 as a broker, and from 03/29/2004 - 08/21/2017 as an investment advisor.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, Christopher W Polimeni has been in the securities industry for 38 years and was listed with 7 firms. Polimeni has one disclosure on his FINRA CRD report.
The disclosure is a “Customer Dispute” filed against Christopher W Polimeni, dated 4/16/2025 and is currently pending. The allegations are, “Customer alleged that financial professional converted customer's assets by transferring them to a foundation.” The damage amount requested is, $1,600,000.00.
Investors should be made aware of “FINRA’s Rule 2150, Improper Use of Customers' Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts.” This rule is available on FINRA’s website, and says in part:
“No member or person associated with a member shall make improper use of a customer's securities or funds. No member or person associated with a member shall guarantee a customer against loss in connection with any securities transaction or in any securities account of such customer. No member or person associated with a member shall share directly or indirectly in the profits or losses in any account of a customer carried by the member or any other member; provided, however, that a member or person associated with a member may share in the profits or losses in such an account if: (i) such person associated with a member obtains prior written authorization from the member employing the associated person;(ii) such member or person associated with a member obtains prior written authorization from the customer; and (iii) such member or person associated with a member shares in the profits or losses in any account of such customer only in direct proportion to the financial contributions made to such account by either the member or person associated with a member.”
To discuss this article or any other securities issues, contact Soreide Law Group and speak to an experienced securities lawyer at no cost: 888-760-6552.
Soreide Law Group represents our clients nationwide before FINRA on a contingency fee basis, no fee to you if no recovery.
Soreide Law Group has filed a FINRA arbitration on behalf of our clients (Claimants) against: CONCORDE INVESTMENTS SERVICES, LLC, and BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC (Respondents). The Claimants are in their late 70s, retired, and according to the lawsuit, were not looking to take any unnecessary risks with their retirement savings. The Claimants […]
THEODORE WILLIAM BYRER (THEODORE W BYRER, TED BYRER) was registered as a broker with MORGAN STANLEY of Indianapolis, Indiana, from 11/11/2013 - 04/20/2023. He was most recently registered with INTERNATIONAL ASSETS ADVISORY, INC of Westfield, Indiana, from 05/09/2023 - 09/17/2024. According to his BrokerCheck CRD report, dated 7/23/2026, THEODORE W BYRER was suspended for 14 […]
MARK LAWRENCE SULLIVAN (MARK SULLIVAN, MARK L SULLIVAN), formerly with UBS Wealth Management USA in New York City, was fined $10,000 and suspended for three months by the Financial Industry Regulatory Authority (FINRA) over allegations that he traded in customers’ accounts without the proper approval. Sullivan was previously registered both as a broker and as an […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com