Western International Securities

Kenneth McDonald: Investor Seeks $834,000 in Complaint Against Western International Securities Rep

August 27, 2018 | by Fitapelli Kurta

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on August 23, 2018 indicate that California-based Western International Securities broker Kenneth McDonald has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. McDonald (CRD# 816699).

Kenneth McDonald has spent 30 years in the securities industry and has been registered with Western International Securities in Westlake Village, California since August 2015. Previous registrations include Newport Coast Securities in New York, New York (2013-2015); Crown Capital Securities in Rancho Mirage, California (2003-2009; 2010-2013); Girard Securities in San Diego, California (2003); Pacific West Securities in Renton, Washington (2002-2003); Sentra Securities in Phoenix, Arizona (1998-2002); United Pacific Securities in Carlsbad, California (1994-1998); NIF Securities in Newport Beach, California (1994); Shearson/American Express (1982-1983); Drexel Burnham Lambert (1982); Wedbush Noble Cooke (1980-1982); Paine Webber Jackson & Curtis (1980); Blythe Eastman Dillon & Company (1978-1980); and Bateman Eichler Hill Richards (1976-1978). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 14, 1993; Series 7 (General Securities Representative Examination), which he obtained on May 9, 1994; Series 22 (Direct Participation Programs Representative Examination), which he obtained on January 14, 1994; Series 3 (National Commodity Futures Examination), which he obtained on November 11, 1982; and Series 24 (General Securities Principal Examination), which he obtained on January 27, 1995. He is a registered broker with one US state: California.

According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.

Brittney Sias Has Received One FINRA Sanction

April 25, 2018 | by Fitapelli Kurta

Public 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.

Perry Gallagher Allegedly Recommended Unsuitable Investments

April 13, 2018 | by Fitapelli Kurta

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on April 11, 2018 indicate that California-based Western International Securities broker Perry Gallagher has been involved in customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gallagher (CRD# 1193594).

Perry Gallagher has spent 34 years in the securities industry and has been registered with Western International Securities in Santa Rosa, California since 2013. Previous registrations include GBS Financial Corporation in Santa Rosa, California (2012-2013); Wedbush Securities in Los Angeles, California (2001-2012); Triquest Financial in Glendale, California (1990-2001); Bateman Eichler Hill Richards (1988-1990); Shearson Lehman Hutton in New York, New York (1988); EF Hutton & Company (1985-1988); and Dean Witter Reynolds (1983-1985). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 21, 1983; Series 3 (National Commodity Futures Examination), which he obtained on May 28, 1986; and Series 7 (General Securities Representative Examination), which he obtained on October 15, 1983. He is a registered broker with two US states (California and Oregon) and one self-regulatory organization (FINRA).

According to his BrokerCheck report, he has received three customer complaints.

Clement Chichester Was Terminated After Receiving a FINRA Sanction

January 26, 2018 | by Fitapelli Kurta

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.

Heath Goldstein Has Been the Subject of Three unsatisfied Judgments or Liens

November 6, 2017 | by Fitapelli Kurta

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 2, 2017 indicate that Pennsylvania-based Western International Securities broker/adviser Heath Goldstein has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Goldstein (CRD# 2147679).

Heath Goldstein has spent 16 years in the securities industry and has been registered with Western International Securities in Clark’s Summit, Pennsylvania since June 2016. Previous registrations include Calton & Associates in Clark’s Summit, Pennsylvania (2014-2016); Kalos Capital in Clark’s Summit, Pennsylvania (2011-2014); WFG investments in Clark’s Summit, Pennsylvania (2011); Berthel Fisher & Company Financial Services in Clark’s Summit, Pennsylvania (2004-2011); Midsouth Capital in Atlanta, Georgia (2003-2004); PFS Investments in Duluth, Georgia (1996-1997); Merrill Lynch in New York, New York (1993-1994); and Prudential Securities in New York, New York (1993). He has passed five securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 28, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on May 21, 2005; Series 7 (General Securities Representative Examination), which he obtained on March 5, 2012; Series 11 (Assistant Representative-Order Processing Qualification Exam), which he obtained on February 18, 2003; and Series 24 (General Securities Principal Examination), which he obtained on July 26, 2014. He is a registered broker and investment adviser with nine US states and territories: Florida, Georgia, New Jersey, New York, North Carolina, Ohio, Pennsylvania, South Carolina and Wisconsin.

According to his BrokerCheck report, he has received one pending customer complaint and three unsatisfied judgments or liens.

Darrell Roberts Was “Permitted to Resign” Following Alleged Rule Violations

October 10, 2017 | by Fitapelli Kurta

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 6, 2017 indicate that Texas-based Western International Securities broker/adviser Darrell Roberts resigned from a former employer in connection to alleged rule violations. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Roberts (CRD# 4244624).

Darrell Roberts has spent 16 years in the securities industry and has been registered with Western International Securities in Richardson, Texas since September 2017. Previous registrations include Financial West Group in Richardson Texas (2013-2017); Ameriprise Financial Services (2001-2013); and IDS Life Insurance Company in Minneapolis, Minnesota (2001-2006). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination) and Series 7 (General Securities Representative Examination). He is a registered broker and investment adviser with six US states: Idaho, Indiana, New York, Oklahoma, Texas and Washington.

According to his BrokerCheck report, Darrell Roberts has resigned from a former employer in connection to alleged rule violations.

Murray Monroe Has Received a FINRA Sanction

August 17, 2017 | by Fitapelli Kurta

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on August 15, 2017 indicate that former California-based Western International Securities broker/adviser Murray Monroe has been sanctioned by FINRA and suspended from acting as a broker. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Monroe (CRD# 2337934).

Murray Monroe has spent 24 years in the securities industry and was most recently registered with Western International Securities in Pasadena, California (2010-2017). Previous registrations include Crowell Weedon & Company in West Covina, California and Atlas Securities in San Leandro, California. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one customer complaint and one FINRA sanction.

Dennis Mehringer Has a Pending FINRA Complaint

July 21, 2017 | by Fitapelli Kurta

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 20, 2017 indicate that California-based Western International Securities broker/adviser Dennis Mehringer has received a pending FINRA complaint and several resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mehringer (CRD# 722569).

Dennis Mehringer has spent 35 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2009. Previous registrations include First Allied Securities in Pasadena, California; FSC Securities in Atlanta, Georgia; Walnut Street Securities in El Segundo, California; Equico Securities in New York, New York; and the Equitable Life Assurance Society of the United States in New York, New York. He is a registered broker and investment adviser with six US states and territories.

According to his BrokerCheck report, he has received four customer complaints, one pending customer complaint, and one pending FINRA complaint.

Jeffrey Vargas: Terminated by a Former Employer

March 20, 2017 | by Fitapelli Kurta

Public records published by the Financial Industry Regulatory Authority (FINRA) on March 17, 2017 indicate that former Florida-based Western International Securities broker/adviser Jeffrey Vargas has been sanctioned by FINRA and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Vargas (CRD# 5485101).

Jeffrey Vargas has spent seven years in the securities industry and was most recently registered with Western International Securities in Coral Gables, Florida (2016-2017). Previous registrations include Mutual Securities in Miami, Florida; Wells Fargo Advisors in Miami, Florida; and Signator Investors in Miami, Florida. He has passed three securities industry examinations: Series 6 (Investment Company Products/Variable Contracts Representative Examination), Series 7 (General Securities Representative Examination), and Series 66 (Uniform Combined State Law Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Jeffrey Vargas has received one FINRA sanction and was terminated from a former employer.

Dennis Mehringer: Named in Pending FINRA Complaint

January 6, 2017 | by Fitapelli Kurta

Public records published by the Financial Industry Regulatory Authority (FINRA) on January 5, 2017 indicate that California-based Western International Securities broker/adviser Dennis Mehringer has been named in a pending FINRA complaint. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Mehringer (CRD# 722569).

Dennis Mehringer has spent 34 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2009. Previous registrations include First Allied Securities in Pasadena, California; FSC Securities in Atlanta, Georgia; Walnut Street Securities in El Segundo, California; Equico Securities in New York, New York; the Equitable Life Assurance Society of the United States in New York, New York; United Pacific Securities in Carlsbad, California; New England Securities in New York, New York; US Securities Clearing Corporation, which has since been expelled by FINRA, in San Diego, California; Guardian Investor Services Corporation; PML Securities; and NEL Equity Services Corporation. He is a registered broker and investment adviser with six US states and territories: California, Florida, Michigan, Montana, North Carolina, and Washington.

According to his BrokerCheck report, Dennis Mehringer has received four customer complaints and has been named in a pending FINRA complaint.