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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Mar 8, 2022

Stuart Godin Formerly With Western International Securities

DID STUART MYLES GODIN CAUSE YOU INVESTMENT LOSSES? Stuart Godin Formerly With Western International Securities, Financial West Group and RBC Capital Markets Has 8 Customer Complaints For Alleged Broker Misconduct Who is Stuart Godin Formerly With Western International Securities? Stuart Godin (CRD #223476) who was formerly registered with Western International Securities and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Stuart Godin was associated with Financial West Group, RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Was recently discharged from his employment at Western International securities for allegedly borrowing money from a client which is prohibited under industry rules and firm policies and procedures. Stuart Godin Customer Complaints Stuart Godin has been the subject of 8 customer complaints that we know about. Two of Stuart Godin’s 8 customer complaints resulted in arbitration awards in favor of the investors. Six of Stuart Godin’s 8 customer complaints were settled in favor of investors. Allegations Against Stuart Godin A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Claimant alleges losses due to Stuart Godin’s alleged unsuitable recommendation to invest in a managed futures fund. Client alleges he lost nearly all of his investment in a Managed Futures program allegedly by Stuart Godin. Stuart Godin’s alleged misrepresentation and incompetence on stock selections. Stuart Godin Red Flags & Your Rights as an Investor Of course, Stuart Godin 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 Stuart Godin at Western International Securities, Financial West Group and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stuart Godin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Financial West Group and RBC Capital Markets 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 Stuart Godin If you have questions about Western International Securities, Financial West Group, RBC Capital Markets and/or Stuart Godin 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, 2022

Brittney Sias formerly with Western International Securities, Inc.

DID BRITTNEY JADE SIAS CAUSE YOU INVESTMENT LOSSES? Brittney Sias Formerly With Western International Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct Who is Brittney Sias formerly with Western International Securities, Inc.? Brittney Sias (CRD #4274432) 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. Brittney Sias Customer Complaints Brittney Sias has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. Both of Brittney Sias’ customer complaints were settled in favor of investors. Allegations Against Brittney Sias 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 nontraded-REIT investment. Breach of fiduciary duty, unsuitable investment recommendations and unsuitable investment strategy coupled with misrepresentations and omissions related to direct investments. Brittney Sias Red Flags & Your Rights As An Investor Of course, Brittney Sias 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 Brittney Sias at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Brittney Sias 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 Brittney Sias If you have questions about Western International Securities, Inc. and/or Brittney Sias 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, 2022

Jeffrey Cohen of Moloney Securities Co., Inc

DID JEFFREY MAX COHEN CAUSE YOU INVESTMENT LOSSES? Jeffrey M. Cohen Has 6 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Jeffrey M. Cohen of Moloney Securities Co., Inc.? Jeffrey Cohen (CRD# 2528929) who is currently registered with Moloney Securities Co. and Moloney Investment Advisory and located in Manchester, Missouri is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moloney Securities Co. Jeffrey Cohen was associated with Western International Securities, Inc. other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Moloney Securities Co., Inc. Broker Misconduct In his career, Jeffrey Cohen has been the subject of 7 customer complaints that we know about, 6of those complaints were filed in the last two years to recover investment losses. So far only one of Jeffrey Cohen customer complaints was settled in favor of investors. There are currently 6 pending customer complaints filed against Jeffrey Cohen current employer Moloney Securities Co. for investment losses caused by his alleged misconduct. Allegations Against Jeffrey M. Cohen A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Claimant alleges intentional misrepresentation, negligent misrepresentation, and breach of fiduciary duty related to financial advice. Claimant alleges unsuitability related to direct investments in limited partnership interests. Claimant alleged that registered representative made unsuitable recommendations to invest in alternative investments. Jeffrey M. Cohen Red Flags & Your Rights as An Investor Of course, Jeffrey Cohen 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 Jeffrey Cohen at Moloney Securities Co. on alert to review carefully the activity and performance of their accounts and question whether Jeffrey Cohen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Moloney Securities Co. also raises questions about 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 Moloney Securities Co., Inc. If you have questions about Moloney Securities Co.and/or Jeffrey Cohen 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, 2022

David Bibo of Western International Securities, Inc

DID DAVID OMORI BIBO CAUSE YOU INVESTMENT LOSSES? David Omori Bibo with Western International Securities, Inc. Has 6 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is David O. Bibo with Western International Securities, Inc.? David Bibo (CRD #2602436) 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.  Prior to Western International Securities, Inc., David Bibo was associated with 3other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities, Inc. Broker Misconduct In his career, David Bibo has been the subject of 4 customer complaints that we know about, 2 of those complaints were filed in the last year to recover investment losses. Two of David Bibo’s 4 customer complaints were settled in favor of investors. Two of the complaints were denied by his employer and to date, the customers have not pursued any action. There are currently 2 pending customer complaints filed against David Bibo’s current employer Western International Securities, Inc. for investment losses caused by his alleged misconduct. Allegations Against David Bibo A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: The client expressed concern about the reasonableness of the investments. Misrepresentation and unsuitable recommendations related to REIT. David Bibo Red Flags & Your Rights as An Investor Of course, David Bibo 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 that should put all current and former customers of David Bibo at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Bibo 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 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. If you have questions about Western International Securities, Inc. and/or David Bibo 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, 2022

Timothy W. Augustin of Western International Securities

DID TIMOTHY W. AUGUSTIN CAUSE YOU INVESTMENT LOSSES? Timothy W. Augustin Formerly with Western International Securities Has 9 Customer Complaints for Alleged Broker Misconduct In the Past 2 Years Who is Timothy W. Augustin Formerly with Western International Securities? Timothy Augustin (CRD # 5283043) who is currently registered with Western International Securities and located in Washington D.C. is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Western International Securities Timothy  Augustin was associated with two other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities Broker Misconduct In his career, Timothy Augustin has been the subject of 10 customer complaints that we know about, 9 of those complaints were filed in the last two years to recover investment losses. Eight of Timothy Augustin customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Timothy Augustin former employer Western International Securities for investment losses caused by his alleged misconduct. Allegations Against Timothy W. Augustin A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Offer and sale of Unregistered Securities, Unsuitable Recommendations, Misrepresentations and Omissions of Material Fact, Fraud, Breach of Fiduciary Duty. Unsuitable Recommendations, Fraud, Breach of Fiduciary Duty relating to promissory notes and exchange traded funds. Breach of Fiduciary Duty, Fraud, Unsuitable Recommendations, Misrepresentations and Omissions of Material Fact relating to, a promissory note. Unsuitable Recommendations related to equity listed common and preferred stocks. Timothy W. Augustin Red Flags & Your Rights As An Investor Of course, Timothy Augustin 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 Timothy Augustin at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Timothy Augustin 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 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 If you have questions about Western International Securities and/or Timothy Augustin 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, 2022

Dawn Bennet of Western International Securities

DID DAWN BENNET CAUSE YOU INVESTMENT LOSSES? Fawn Bennett Has 25 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years Who is Dawn Bennett Formerly with Western International Securities? Dawn Bennett (CRD# 1567051) who is currently registered with Western International Securities and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations.  Dawn Bennett has been permanently barred by FINRA and SEC from any further association with any firm in the securities industry. Prior to Western International Securities Dawn Bennett was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Western International Securities Broker Misconduct In her career, Dawn Bennett has been the subject of 40 customer complaints that we know about, 25 of those complaints were filed in the last two years to recover investment losses. There were 3 arbitration awards entered against her former employer for her alleged misconduct. Thirty-three of Dawn Bennett customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Dawn Bennett current employer Western International Securities for investment losses caused by  her alleged misconduct. Allegations Against Dawn Bennett A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows: Breach of the general duties of reasonable care, honesty and disclosure, recommending unsuitable investments in violation of section 517.301, Florida statutes, common law fraud, breach of fiduciary duty, and negligence relating to exchange traded funds. Churning, misrepresentation, omission of material facts, fraud, breach of fiduciary duty, constructive fraud, breach of contract, negligence, unsuitability, and violation of the Virginia Securities Act. Offer and sale of unregistered securities, unsuitable recommendations, misrepresentations and omissions of material fact, fraud, breach of fiduciary duty related to a promissory note. Unsuitable recommendations, fraud, breach of fiduciary duty, related to a promissory note and exchange traded fund. Negligence and breach of fiduciary duty related to a promissory note.  Breach of fiduciary duty, fraud, unsuitable recommendations, misrepresentations and omissions of material fact related to a promissory note. Breach of fiduciary duty, fraud, unsuitable recommendations related to a mutual fund and exchange traded fund. Unsuitable recommendations related to exchange traded funds. Claimants allege lack of diversification and portfolio. Dawn Bennett Red Flags & Your Rights as An Investor Of course, Dawn Bennett 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 Dawn Bennett at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Dawn Bennett 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 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 If you have questions about Western International Securities and/or Dawn Bennett 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 25, 2022

Bradley Mascho formerly with Western International Securities, Inc.

DID BRADLEY CARL MASCHO CAUSE YOU INVESTMENT LOSSES? Bradley Mascho Formerly With Western International Securities, Inc. Has 17 Customer Complaints For Alleged Broker Misconduct Who is Bradley Mascho formerly with Western International Securities, Inc.? Bradley Mascho (CRD #2039720) who was formerly registered with Western International Securities, Inc. and located in Frederick, Maryland is a subject of one of our many securities industry sales practice abuse investigations. Bradley Mascho Customer Complaints Bradley Mascho has been the subject of 17 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Sixteen of Bradley Mascho’s 17 customer complaints were settled in favor of investors. There is currently 1 pending customer complaint filed against Bradley Mascho’s former employer Western International Securities, Inc. for investment losses caused by the alleged misconduct. Allegations Against Bradley Mascho A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Multiple complaints of unsuitable investment recommendations related to a promissory note. Offer and sale of unregistered securities. Unsuitable investment recommendations, fraud, breach of fiduciary duty related to promissory note and exchange traded fund investments. Breach of fiduciary duty related to commodity future investments. Bradley Mascho Red Flags & Your Rights As An Investor Of course, Bradley Mascho 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 Bradley Mascho at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Bradley Mascho 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 Bradley Mascho If you have questions about Western International Securities, Inc. and/or Bradley Mascho 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 22, 2022

Avraham Ziv of Western International Securities, Inc.

DID AVRAHAM ISAAC ZIV CAUSE YOU INVESTMENT LOSSES? Avraham Ziv Of Western International Securities, Inc. And Formerly With Northeast Securities, LLC Has A Customer Complaint For Alleged Broker Misconduct Who is Avraham Ziv of Western International Securities, Inc.? Avraham Ziv (CRD #2749711) who is currently registered with Western International Securities, Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Western International Securities, Inc., Avraham Ziv was associated with Northeast Securities, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Avraham Ziv Customer Complaint Avraham Ziv has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were misrepresentation of common and preferred stock investments. Avraham Ziv’s customer complaint was denied and, to date, the customer has not taken any further action. Avraham Ziv Red Flags & Your Rights As An Investor Of course, Avraham Ziv 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 Avraham Ziv at Western International Securities, Inc. and Northeast Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether Avraham Ziv 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 Northeast Securities, LLC 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 Avraham Ziv If you have questions about Western International Securities, Inc., Northeast Securities, LLC and/or Avraham Ziv 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 8, 2022

Alex Mathis of Western International Securities, Inc.

DID ALEX BOYD MATHIS CAUSE YOU INVESTMENT LOSSES? Alex Mathis Of Western International Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct Who is Alex Mathis of Western International Securities, Inc.? Alex Mathis (CRD #2235598) who is currently 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. Alex Mathis Customer Complaints Alex Mathis has been the subject of 4 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. One of Alex Mathis’ 4 customer complaints was settled in favor of investors.  Three of Alex Mathis’ customer complaints were denied and, to date, the customers have not taken any further action. Allegations Against Alan Silverman A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows: Customer alleged unsuitable investment recommendations, misrepresentations, and unauthorized trading in connection with mutual funds. Customer alleged unsuitable REIT investment recommendation. Customer alleged that Alex Mathis made unsuitable investment recommendations to purchase a non-traded REIT and mutual fund. Customer alleged unsuitable mutual fund investments by Alex Mathis. Alex Mathis Red Flags & Your Rights As An Investor Of course, Alex Mathis 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 Alex Mathis at Western International Securities, Inc.on alert to review carefully the activity and performance of their accounts and question whether Alex Mathis 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 Alex Mathis If you have questions about Western International Securities, Inc. and/or Alex Mathis 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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