Investors apparently complained about securities broker B. David Goldstein [CRD: 1718066, Rancho Mirage, California], according to disclosures on FINRA BrokerCheck. According to the regulator, Goldstein worked for Western International Securities Inc. from May 29, 2015, to June 22, 2022, and later for Securities America Inc. from June 22, 2022, to June 14, 2024. Presently, Goldstein […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Jason Lowther (also known as Jason Smith) [CRD#: 2606268, Ann Arbor, Michigan]. Jason Lowther has over 27 years of experience in the securities industry and is currently employed by Concorde Investment Services, LLC, where he has worked since September 2021. He previously worked for […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Rohloff (also known as Gaylord Rohloff) [CRD#: 1542216, Westlake Village, California]. Gaylord Rohloff has been employed at Western International Securities, Inc. since May 27, 2008. Western International Securities Client Files Pending Complaint Alleging Unsuitability On July 31, 2024, a client of Western International […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker David Dean Glienke [CRD: 5502866, Westlake Village, California]. David Glienke has been employed by Western International Securities, Inc. since May 28, 2008, where he is registered as both a broker and an investment adviser representative. Recent disclosures raise concerns about Glienke’s conduct, including allegations […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Thomas Brian Swan [CRD#: 1698430, Westlake Village, California]. Swan has been registered with Western International Securities, Inc. since May 27, 2008, and has over 36 years of experience in the securities industry. Recent disclosures reveal concerns about Swan’s conduct, including allegations of unsuitable recommendations, […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker Gaylord Wesley Rohloff [CRD: 1542216, Westlake Village, California]. Evidently, Gaylord Rohloff registered with Western International Securities, Inc. since May 27, 2008. Recent disclosures reveal concerns about Rohloff’s conduct, including allegations of unsuitable investment recommendations and unauthorized trading. July 31, 2024: Western International Securities Client […]

Financial Industry Regulatory Authority (FINRA) BrokerCheck shows disclosures about securities broker / financial advisor Patrick Michael Egan [CRD: 2973478, Glendora, California]. Egan has worked for Western International Securities Inc. as a securities broker since January 22, 1998, and as a financial advisor since July 30, 2007. Evidently, Egan has faced client disputes concerning his conduct […]

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, […]