Investors possibly experienced losses because of securities broker Thomas Brian Swan [CRD: 1698430, Westlake Village, California], and Securities and Exchange Commission (SEC) brought a complaint against him, according to publicly available disclosures. Evidently, Thomas Swan has worked for Western International Securities Inc. since 2008 as a securities broker and since 2014 as a financial advisor. […]

Investors complained about securities broker / financial advisor Nancy Ellen Cole (also known as Nancy Ellen Hall) [CRD: 2900724, Sacramento, California]. Notably, SEC filed a complaint about her, and investors disputed her sales practices, according to Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Nancy Cole has worked for Western International Securities Inc. since August 28, […]

SEC fined securities broker Geoffrey Michael Wolterstorff (also known as Geoff Wolterstorff) [CRD: 2711805, Eau Claire, Wisconsin], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Geoffrey Wolterstorff has worked for Lifemark Securities Corp. since October 1, 2018. Before joining this firm, Wolterstorff was employed by Foresters Equity Services Inc. from March 8, […]