Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 24, 2017 indicate that former California-based Western International Securities Broker Clement Chichester has been sanctioned by FINRA and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Chichester (CRD# 1255275).
Clement Chichester has spent 32 years in the securities industry and was most recently registered with Western International Securities in Westlake Village, California (2012-2017). Previous registrations include US Bancorp Investments in Santa Monica, California (2010-2011); Primevest Financial Services in Santa Monica, California (2007-2010); Cuna Brokerage Services in Santa Ana, California, California (2006-2007); MetLife Securities in Los Angeles, California (2005-2006); Metropolitan Life Insurance Company in Los Angeles, California (2005-2006); Financial West Group in Reno, Nevada (2003-2004); National Planning Corporation in El Segundo, California (2002-2003); Uboc Investment Services in Glendale, California (2001-2002); WM Financial Services in Irvine, California (1999-2000); BA Investment Services in Oakland, California (1997-1999); Great Western Financial Securities Corporation in Northridge, California (1994-1997); and Pruco Securities Corporation in Newark, New Jersey. He has passed three securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 9, 1998; Series 7 (General Securities Representative Examination), which he obtained on July 23, 1997; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on April 18, 1984. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from his former employer in connection to alleged rule violations.
In October 2017 FINRA sanctioned him following allegations he failed to provide requested documents and information following his initial provision of partial responses in connection with an investigation into his alleged “receipt of funds from a customer of his member firm.” He was barred from acting as a broker or otherwise associating with a broker-dealer firm.
In October 2017 he was terminated from his position at Western International Securities after he accepted a FINRA sanction.
If you or someone you know has lost money investing with Clement Chichester, 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 by law, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.