Published on:

Brittney Sias Has Received One FINRA Sanction

Brittney SiasPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 20, 2018 indicate that former California-based Western International Securities broker Brittney Sias, also known as Rosalie Sias, has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Ms. Sias (CRD# 4274432).

Brittney Sias has spent 14 years in the securities industry and was most recently registered with Western International Securities in Westlake Village, California (2013-2017). Previous registrations include US Bancorp Investments in Culver City, California (2010-2011; 2012-2013); Primevest Financial Services in Los Angeles, California (2008-2010); Cuso Financial Services in Los Angeles, California (2008); Essex National Securities in West Hollywood, California (2007-2008); Cuna Brokerage Services in Los Angeles, California (2006-2007); Bancwest Investment Services in Culver City, California (2006); Financial West Group in Reno, Nevada (2003-2005); and Uboc Investment Services in Glendale, California (2001-2003). She has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which she obtained on October 9, 2002, and Series 7 (General Securities Representative Examination), which she obtained on October 3, 2001. She is currently not registered with any state or firm.

According to her BrokerCheck report, she has received one FINRA sanction and one pending customer complaint, and she was recently discharged from a former employer in connection to alleged rule violations.

In March 2018 a customer alleged Brittney Sias, while employed at Western International Securities, breached her fiduciary duty, recommended unsuitable investments and an unsuitable investment strategy, and made misrepresentations and omissions of material facts. The customer is seeking $700,000 in damages in the pending complaint.

In October 2017 FINRA sanctioned her in connection to allegations she failed to respond to requests for documents and information connected to an investigation into her alleged receipt of funds from a client at her member firm. She was consequently barred from acting as a broker or otherwise associating with a broker-dealer firm.

In October 2017 she was terminated from her position at Western International Securities in connection to allegations of a regulatory action entered against her “for failure to respond.”

If you or someone you know has lost money investing with Brittney Sias, also known as Rosalie Sias, call the experienced attorneys at Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup your losses. Fitapelli Kurta accepts all cases on a contingency basis: we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.