Western International Securities – Investor Alert
Galvin Legal is launching an investigation on behalf of investors who may have suffered losses investing with Western International Securities. If you suffered losses investing with Western International Securities, then Galvin Legal may be able to help you recover your losses in a Financial Industry Regulatory Authority (“FINRA“) arbitration claim.
Western International Securities (CRD# 39262) (SEC# 8-48572)
As of August 24, 2016, Western International Securities’ FINRA BrokerCheck Report contains the following:
6 Regulatory Event Disclosures
0 Civil Event Disclosures
4 Arbitration Disclosures
0 Bond Disclosures
Main Office Location
70 SOUTH LAKE AVENUE
SUITE 700
PASADENA, CA 91101
Mailing Address
70 SOUTH LAKE AVENUE
SUITE 700
PASADENA, CA 91101
Business Telephone Number
626-793-7717
Direct Owners and Executive Officers
CONCEPT BROKERAGE HOLDING CORP. – PARENT COMPANY
BIZUB, DONALD MICHAEL (CRD# 1600090) – CEO/MP/DIRECTOR
GILLILAND, RICHARD LEE JR (CRD# 1291796) – VP/DIRECTOR
KAISER, BRADLEY CLIFFORD (CRD# 2523397) – CHIEF COMPLIANCE OFFICER
KUO, ANDREW C (CRD# 4415637) – MANAGING DIRECTOR
REA, WENDY AUSTIN (CRD# 724857) – SR. MANAGING DIRECTOR
FINRA requires brokerage firms to conduct due diligence on investments and to conduct a suitability analysis when recommending securities to a customer that takes into account the customer’s knowledge and experience. Brokerage firms that fail to conduct adequate due diligence or that make unsuitable recommendations can be held responsible for the customer’s losses in a FINRA arbitration claim.
If you suffered losses investing with Western International Securities and would like a free consultation with a securities attorney, then please call Galvin Legal at 1-800-405-5117.
Galvin Legal is a national securities arbitration, mediation, fraud, and investor protection law practice. For more information on Galvin Legal, please visit www.galvinlegal.com or call 1-800-405-5117.
