Western International Securities Tag Archives

Broker Douglas Waisner in Western International Securities, INC. Firm Has Customer Complaint

June 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Douglas Waisner (Waisner), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Waisner recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $5,000.00 on December 22, 2023.

Misrepresentation

There are Recent Customer Complaints with Broker John Darmanian in Firm Western International Securities, INC.

June 6, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker John Darmanian (Darmanian), currently associated with Western International Securities, INC., has at least 2 disclosable events. These events include 2 customer complaints, alleging that Darmanian recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,000.00 on January 31, 2024.

Allegations of supervisory failures

Broker Patrick Egan in Western International Securities, INC. Firm Has Customer Complaint

May 29, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Patrick Egan (Egan), previously associated with Western International Securities, INC., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Egan recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $50,001.00 on March 06, 2024.

Misrepresentation

There are Recent Customer Complaints with Broker Robert Sessa in Firm Western International Securities, INC.

May 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Robert Sessa (Sessa), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Sessa recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $45,937.02 on January 22, 2025.

Clients complained about the performance of alternative investments. The firm settled to avoid the costs of litigation and denies any wrongdoing and/or liability.

Broker Christopher Polimeni in Western International Securities, INC. Firm Has Customer Complaint

May 13, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Christopher Polimeni (Polimeni), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Polimeni recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $1,600,000.00 on April 16, 2025.

Customer alleged that financial professional converted customer’s assets by transferring them to a foundation.

Broker Antoine Abi Nader in Western International Securities, INC. Firm Has Customer Complaint

May 3, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Antoine Abi Nader (Abi Nader), currently associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Abi Nader recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $500,000.00 on May 17, 2024.

Customer alleges that investment recommendation was unsuitable and misrepresented.

There are Recent Customer Complaints with Broker Thomas Hartfield in Firm Western International Securities, INC.

April 22, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Thomas Hartfield (Hartfield), previously associated with Western International Securities, INC., has at least one disclosable event. These events include one customer complaint, alleging that Hartfield recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $400,000.00 on July 18, 2024.

Customer alleges that an investment recommendations were unsuitable.

Broker David Karin in Western International Securities, Inc. Firm Has Customer Complaint

April 11, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker David Karin (Karin), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Karin recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $75,000.00 on March 21, 2025.

Customer alleges that an investment recommendation was unsuitable and misleading.

Broker Hiroshi Mizutani in Western International Securities, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Hiroshi Mizutani (Mizutani), currently associated with Western International Securities, Inc., has at least one disclosable event. These events include one customer complaint, alleging that Mizutani recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a pending customer complaint with a damage request of $200,000.00 on July 30, 2024.

Customer alleges that investment recommendation was unsuitable and misleading.

Broker Gaylord Rohloff in Western International Securities, Inc. Firm Has Customer Complaint

April 10, 2025 | by Staff Attorney

According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Gaylord Rohloff (Rohloff), currently associated with Western International Securities, Inc., has at least 3 disclosable events. These events include 3 customer complaints, alleging that Rohloff recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.

FINRA BrokerCheck shows a settled customer complaint with a damage request of $350,000.00 on July 31, 2024.

Client claims investment was unsuitable.