Investors might have sustained losses due to securities broker David Gary Simon [CRD: 1064191, Crystal Bay, Nevada], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, David Simon has worked for Western International Securities Inc. since January 23, 2004. Here’s more about the investor disputes and disclosures concerning this securities broker.
Particularly, a Western International Securities Inc. client filed FINRA Arbitration No. 22-01855 about David Simon. The client alleged misrepresentation. Because of this, the investor supposedly sustained damages on corporate bonds. Consequently, on November 16, 2023, Western International Securities Inc. settled this matter by paying the client $68,000 in damages.
Also, on July 19, 2023, a Western International Securities Inc. client filed Civil Action No. 23vecv02979 about David Simon. Mainly, the client alleged unsuitable recommendations. Because of this, the investor supposedly sustained damages on corporate bonds. As a result, they requested $115,000 in compensation from Western International Securities Inc. or Simon. Evidently, this civil suit is pending a resolution.
Specifically, a client of Western International Securities Inc. contested David Simon's sales practices by filing FINRA Arbitration No. 22-01850. Notably, the investor alleged unsuitable advice about corporate bonds. Therefore, Western International Securities Inc. opted to settle the matter on September 23, 2023, by compensating the client in the amount of $73,000.
Experience losses because of David Simon? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a possible recovery of your investment losses. Soreide Law Group investment loss attorneys assist individuals throughout the United States, work on a contingency fee basis, and advance all costs. Simon and brokerage firms Simon worked for deny accusations of sales practice violations.
PHILLIP CURTIS ANDERSON (PHILLIP C ANDERSON) was fined $10,000.00, ordered to pay disgorgement of $8,280.00, and was suspended for five months by FINRA. According to FINRA’s BrokerCheck, available to the public on FINRA’s website, the “Regulatory” disclosure dated 5/13/2025 states the following: “Without admitting or denying the findings, Anderson consented to the sanctions and to […]
Soreide Law Group filed a FINRA arbitration on behalf of our client (Claimant) against: WESTERN INTERNATIONAL SECURITIES, INC. (WIS). (Respondent) The Claimant is in his late sixties and lives in California. On or about 2019, the Claimant was invited to a presentation on retirement income by a WESTERN INTERNATIONAL SECURITIES’ former broker. The lawsuit alleges […]
Investors apparently complained about securities broker Charles Kenneth Wareham [CRD: 2193537, Hartford, Connecticut], according to publicly available information on FINRA BrokerCheck. Evidently, Charles Wareham has been registered with Independent Financial Group LLC since March 14, 2014. Readers are encouraged to continue below for details about the disclosures involving Wareham. Independent Financial Group LLC Investor Accused […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com