Jul 18, 2023

Thomas Swan of Western International Securities, Inc.

DID THOMAS BRIAN SWAN CAUSE YOU INVESTMENT LOSSES? Thomas Swan Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Thomas Swan Customer Complaints Thomas Swan has been the subject of 4 customer complaints that we know about to recover investment losses. One customer complaint was settled in favor of the investor. Another customer complaint was denied by Thomas Swan’s former employer and the customer took no further action. There are currently 2 arbitration proceedings pending against Western International Securities for Thomas Swan’s alleged misconduct. Allegations Against Thomas Kieffer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Thomas Swan Red Flags & Your Rights As An Investor Of course, Thomas Swan 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 Thomas Swan at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Swan 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 firm’s 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 Thomas Swan If you have questions about Western International Securities, Inc. and/or Thomas Swan 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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Apr 14, 2023

Mark Katz of Western International Securities, Inc.

DID MARK KATZ CAUSE YOU INVESTMENT LOSSES? Mark Katz Of Western International Securities, Inc. And Formerly With Hilltop Securities Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Mark Katz Customer Complaints Mark Katz has been the subject of 3 customer complaints that we know about to recover investment losses. One customer complaint was settled by Hilltop Securities in favor of the investor. The other 2 customer complaints were denied by the same brokerage firm and the customers took no further action. Allegations Against Mark Katz A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Mark Katz Red Flags & Your Rights As An Investor Of course, Mark Katz 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 Mark Katz at Western International Securities, Inc. and Hilltop Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Mark Katz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and Hilltop 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 Mark Katz If you have questions about Western International Securities, Inc., Hilltop Securities Inc. and/or Mark Katz 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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Mar 4, 2023

Jose Castillo of Western International Securities

DID JOSE ORLANDO CASTILLO CAUSE YOU INVESTMENT LOSSES? Jose Castillo Of Western International Securities And Formerly With J.P. Morgan Securities LLC Has A Customer Complaint For Alleged Broker Misconduct Jose Castillo Customer Complaint Jose Castillo has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable recommendation of mutual fund investment. The customer complaint was settled by J.P. Morgan Securities in favor of the investor. Jose Castillo Red Flags & Your Rights As An Investor Of course, Jose Castillo 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 Jose Castillo at Western International Securities and J.P. Morgan Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Jose Castillo has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities and J.P. Morgan Securities LLC 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 Due To Jose Castillo If you have questions about Western International Securities, J.P. Morgan Securities LLC and/or Jose Castillo 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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Feb 24, 2023

John Koorey formerly with Western International Securities, Inc.

DID JOHN JOSEPH KOOREY CAUSE YOU INVESTMENT LOSSES? John Koorey Formerly With Western International Securities, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct John Koorey Customer Complaints John Koorey has been the subject of 9 customer complaints that we know about to recover investment losses. All 9 customer complaints were settled by Western International Securities in favor of the investors. Allegations Against John Koorey A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: John Koorey Red Flags & Your Rights As An Investor Of course, John Koorey 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 John Koorey at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether John Koorey 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 firm’s 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 John Koorey If you have questions about Western International Securities, Inc. and/or John Koorey 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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Dec 9, 2022

Edward Simpson of Western International Securities, Inc.

DID EDWARD DALE SIMPSON CAUSE YOU INVESTMENT LOSSES? Edward Simpson Of Western International Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct Who is Edward Simpson of Western International Securities, Inc.? Edward Simpson (CRD #2944158) who is currently registered with Western International Securities, Inc. and located in San Jose, California is a subject of one of our many securities industry sales practice abuse investigations.   Edward Simpson Customer Complaint Edward Simpson has been the subject of at least one customer complaint that we know about, which was filed to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable recommendations involving real estate investment trusts. Edward Simpson’s customer complaint was settled in favor of the investor.   Edward Simpson Red Flags & Your Rights As An Investor Of course, Edward Simpson 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 Edward Simpson at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Edward Simpson 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 firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Edward Simpson If you have questions about Western International Securities, Inc. and/or Edward Simpson 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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Nov 23, 2022

Dennis Mehringer formerly with Western International Securities, Inc.

DID DENNIS ALBERT MEHRINGER JR CAUSE YOU INVESTMENT LOSSES? Dennis Mehringer Formerly With Western International Securities, Inc. Has 12 Customer Complaints For Alleged Broker Misconduct Who is Dennis Mehringer formerly with Western International Securities, Inc.? Dennis Mehringer (CRD #722569) who was formerly registered with Western International Securities, Inc. and located in Pasadena, California was the subject of a FINRA investigation and enforcement action for unsuitable recommendations in excess of trading of mutual funds and permanently barred from any further association with any FINRA member firm. Dennis Mehringer is also subject of one of our many securities industry sales practice abuse investigations.   Dennis Mehringer Customer Complaints Dennis Mehringer has been the subject of 12 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Dennis Mehringer’s 12 customer complaints resulted in an Award in favor of the investor. Eight of Dennis Mehringer’s customer complaints were settled in favor of investors. Three of Dennis Mehringer’s customer complaints were denied, and, to date, the customers have not taken any further action.   Allegations Against Dennis Mehringer A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: A monetary judgment to the customer in the amount of $75,000 was entered in connection with erroneous advice concerning loans made from a defined benefit plan to purchase real estate. Unsuitable investment recommendations in breach of fiduciary duty related to common stock, preferred stock, mutual funds, and exchange traded funds. Misrepresentation and fraud, unauthorized trading, breach of fiduciary duty and unsuitable investment recommendations related to common stock transactions. Unsuitable investment recommendations related to common stock and mutual fund transactions. Complaint concerning the performance of the fixed income investment. Unsuitable investment recommendations related to a promissory note investment. Breach of fiduciary duty, fraud and misrepresentation, negligence, violation of state and federal laws and FINRA rules related to common stock and mutual fund transactions. Unauthorized trading, excessive commission charges connection with common stock and mutual fund transactions. Overconcentration of an investment without adequate put option coverage. Misrepresentation related to status of a rider guarantee on an annuity contract. Purchase of reverse convertible notes without execution of an option agreement was improper. Failure to disclose risk of structured products in a defined benefit plan. Dennis Mehringer Red Flags & Your Rights As An Investor Of course, Dennis Mehringer 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 Dennis Mehringer at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Dennis Mehringer 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. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Dennis Mehringer If you have questions about Western International Securities, Inc. and/or Dennis Mehringer 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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Jul 26, 2022

Clement Chichester formerly with Western International Securities, Inc.

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. There are a variety of resources where you can learn more about a person’s background, including past employment history, regulatory disciplinary actions, and consumer complaints. If you have questions regarding Clement Chichester or investment losses you’ve suffered, this important information might be of interest to you. We’ll do everything we can to respond to your inquiries. DID CLEMENT LANCELOT CHICHESTER CAUSE YOU INVESTMENT LOSSES? Clement Chichester Formerly With Western International Securities, Inc. Has 3 Customer Complaints For Alleged Broker Misconduct Who is Clement Chichester formerly with Western International Securities, Inc.? Clement Chichester (CRD #1255275) who was formerly registered with Western International Securities, Inc. and located in Westlake Village, California is a subject of one of our many securities industry sales practice abuse investigations. Clement Chichester Customer Complaints Clement Chichester has been the subject of 3 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Two of Clement Chichester’s 3 customer complaints were settled in favor of investors. One of Clement Chichester’s customer complaints was denied and, to date, the customer has not taken any further action. Allegations Against Clement Chichester A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Unsuitable investment recommendations of private placements and nontraded REITs. Breach of fiduciary duty, unsuitable investment recommendations and strategies combined with material misrepresentations and omissions related to direct investments. Failure to explain variable annuity transaction. Clement Chichester Red Flags & Your Rights As An Investor Of course, Clement Chichester 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 Clement Chichester at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Clement Chichester 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. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Clement Chichester If you have questions about Western International Securities, Inc. and/or Clement Chichester 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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Mar 8, 2022

Doron Kochavi of Western International Securities

DID DORON KOCHAVI CAUSE YOU INVESTMENT LOSSES? Doron Kochavi Of Western International Securities, Inc. And Formerly With UBS Financial Services Has 6 Customer Complaints For Alleged Broker Misconduct Who is Doron Kochavi of Western International Securities, Inc.? Doron Kochavi (CRD #1011155) who is currently registered with Western International Securities, Inc. and located in Pasadena, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Inc., Doron Kochavi was associated with UBS Financial Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Doron Kochavi Customer Complaints Doron Kochavi has been the subject of 6 customer complaints that we know about. Two of Doron Kochavi’s 6 customer complaints resulted in arbitration awards in favor of the investors. One of Doron Kochavi’s 6 customer complaints was settled in favor of investors. One of Doron Kochavi’s 6 customers’ complaints was denied and the customers did not take any further action. There are currently two pending customer complaints filed against Western International Securities, Inc. for investment losses caused by Doron Kochavi’s alleged misconduct. Allegations Against Doron Kochavi A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Doron Kochavi’s alleged Breach of Fiduciary Duty. The claimant made allegations that Doron Kochavi breached his fiduciary duty, failed to disclose material information regarding the investments and recommended the purchase of unsuitable securities. Customer claimed that Doron Kochavi engaged in unauthorized trading and churning, made unsuitable investment recommendations and misrepresentations. The customer alleged that Doron Kochavi made unsuitable investments in several accounts. Doron Kochavi Red Flags & Your Rights As An Investor Of course, Doron Kochavi 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 Doron Kochavi at Western International Securities, Inc. and UBS Financial Services on alert to review carefully the activity and performance of their accounts and question whether Doron Kochavi has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. and UBS Financial Services 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. File A Claim To Recover Your Investment Losses At Western International Securities, Inc. Due To Doron Kochavi If you have questions about Western International Securities, Inc., UBS Financial Services, and/or Doron Kochavi 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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Mar 8, 2022

Margareta Childs Formerly With Western International Securities

DID MARGARETA THERESIA CHILDS CAUSE YOU INVESTMENT LOSSES? Margareta Childs Formerly With Western International Securities And Financial West Group Has 2 Customer Complaints For Alleged Broker Misconduct Who is Margareta Childs formerly with Western International Securities? Margareta Childs (CRD #1495891) who was formerly registered with Western International Securities and located in Irvine, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Margareta Childs was associated with Financial West Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Margareta Childs has had her own regulatory problems.  In June 2019, FINRA made a request for information that she failed to respond to, and was subsequently permanently barred from association with any FINRA member, in any capacity for violation of FINRA Rule 8210 requiring associate member cooperation in all investigations. Margareta Childs Customer Complaints Margareta Childs has been the subject of 2 customer complaints that we know about.  One of Margareta Childs’ customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Financial West Group and Western International Securities for investment losses caused by Margareta Childs’ alleged misconduct. Allegations Against Margareta Childs A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Margareta Childs’ alleged Breach of Loan Agreements; Estoppel; Money Lent; Fraud; and Constructive Trust. Customer claimed Margareta Childs engaged in churning and made unsuitable securities recommendations. Margareta Childs Red Flags & Your Rights As An Investor Of course, Margareta Childs 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 Margareta Childs at Western International Securities and Financial West Group on alert to review carefully the activity and performance of their accounts and question whether Margareta Childs has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities and Financial West Group also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Western International Securities Due To Margareta Childs If you have questions about Western International Securities, Financial West Group, and/or Margareta Childs 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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Mar 8, 2022

Peter Steege of Western International Securities

DID PETER BENEDICT STEEGE CAUSE YOU INVESTMENT LOSSES? Peter Steege Of Western International Securities Has 10 Customer Complaints For Alleged Broker Misconduct Who is Peter Steege of Western International Securities? Peter Steege (CRD #1060713) who is currently registered with Western International Securities and located in Denver, Colorado is a subject of one of our many securities industry sales practice abuse investigations. It appears from FINRA’s BrokerCheck that Peter Steege has had his share problems with the authorities, including 4 regulatory events with state regulators in Illinois and Georgia and the New York Stock Exchange.  Remarkably he is still registered in working in the industry with those regulatory black marks and the 10 customer complaints discussed below. Peter Steege Customer Complaints Peter Steege has been the subject of 10 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Five of Peter Steege’s 10 customer complaints were settled in favor of investors. Five of Peter Steege’s customers’ complaints were denied and, to date, the customers have not taken any further action. Allegations Against Peter Steege A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Alleged unsuitable investment and orders being executed without authorization of the customer by Peter Steege. Breach of Fiduciary Duty, Breach of Contract, Misrepresentation allegedly by Peter Steege. Clients allege that investments recommended by Peter Steege did not match their investment objectives. Peter Steege alleged unauthorized activity. Peter Steege alleged unauthorized trade – purchase of 4000 NTPA. Unsuitable investment and unauthorized trading by Peter Steege. Peter Steege Red Flags & Your Rights As An Investor Of course, Peter Steege 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 Peter Steege at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Peter Steege has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities 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. File A Claim To Recover Your Investment Losses At Western International Securities Due To Peter Steege If you have questions about Western International Securities and/or Peter Steege 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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