Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker Douglas Cy Waisner [CRD: 1280998, Westlake Village, California]. Evidently, Waisner joined Western International Securities Inc. on May 27, 2008, and worked for Financial West Group from January 1, 2005, to March 20, 2013. Keep reading to learn more about client disputes that contain allegations of misrepresentation.
Investors accused Douglas Waisner of making misrepresentations concerning the sale of government bonds while he worked for Western International Securities Inc. On December 22, 2023, a client filed FINRA Arbitration No. 23-03093, seeking compensation based on these allegations. This matter is currently pending resolution.
On March 20, 2013, an investor’s claim settled for $66,000. Namely, the client accused Waisner of breaching fiduciary duties, breaching a contract, and making misrepresentations regarding TIC investments. FINRA Arbitration No. 11-02942.
Another client dispute involved allegations of breach of fiduciary duty, unsuitable recommendations, and supervisory failures. NASD Arbitration No. 94-03756 was settled for $100,000 in damages.
Contact Soreide Law Group online or at (888) 760-6552 to speak with a securities attorney for more information. Waisner and the firms he worked for deny accusations of sales practice violations. Soreide Law Group has experience representing investors throughout the country and handles cases on a contingency basis.
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