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, […]

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. Western International […]

Investors possibly experienced losses because of securities broker David Wayne Karin [CRD: 2486154, Westlake Village, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Karin joined Western International Securities Inc. on March 30, 2012, as a securities broker. He started working as a financial advisor there shortly thereafter. The following information concerns […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Doron Kochavi [CRD: 1011155, Pasadena, California], given the disclosures on FINRA BrokerCheck. Evidently, Kochavi worked for Western International Securities Inc. from October 19, 2015, to January 4, 2024. Keep reading to learn more about Kochavi’s disclosures. Regulator Sanctioned […]

Soreide Law Group is looking into potential claims on behalf of investors who may have endured financial losses due to Christopher Booth Kennedy [CRD: 4498061, Woodland Hills, California]. Evidently, Kennedy worked for Western International Securities Inc. from December 2, 2019, to September 27, 2021. Investors can review the following disclosures about Kennedy’s conduct in the […]

Soreide Law Group is currently investigating potential claims on behalf of investors who may have sustained financial losses through dealings with John Kevin Egan (CRD: 2221733, Glendora, California). Egan was formerly a registered financial advisor and broker, notably affiliated with Western International Securities, Inc. from July 22, 1996, to March 31, 2021. Evidently, there are […]