DID RICHARD HOWARD CASE CAUSE YOU INVESTMENT LOSSES?
About Richard Case of Western International Securities, Inc.?
Richard Case (CRD #1235220) , has been with Western International Securities, Inc. since October 2008, operating from Westlake Village, California. He holds licenses in 19 U.S. states/territories and is registered with one self-regulatory organization (SRO). He has passed the Series 24 General Securities Principal exam, the Series 7 General Securities Representative exam, and other industry/product and state securities law exams. Previously, he worked at Crowell, Weedon & Co. and Seidler Investment Advisors Incorporated. Case is also involved in managing Tarian Investment Services, Inc. and sells investment-related insurance products.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Richard Case Customer Complaints and Reviews
- Total Incidents: 1 pending customer dispute
- Pending Dispute:
- Date: Complaint received on March 25, 2024
- Allegations: The client alleges that Case breached his fiduciary duty involving a corporate debt product, probably GWG L BONDS.
- Alleged Damages: $5,000
- Forum: FINRA Arbitration, Docket/Case #: 24-00625
- Status: Pending
Allegations Against Richard Case
- Pending Dispute: Allegations of a breach of fiduciary duty involving corporate debt products, with the dispute currently in the arbitration process.
Richard Case Red Flags & Your Rights As An Investor
Of course, Richard Case did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Richard Case at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Case has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Richard Case
If you have questions about Western International Securities, Inc. and/or Richard Case and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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