Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 23, 2018 indicate that California-based Western International Securities broker/adviser Jeffrey Brandeen has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brandeen (CRD# 2894744).
Jeffrey Brandeen has spent 20 years in the securities industry and has been registered with Western International Securities in Pasadena, California since 2006. Previous registrations include Oppenheimer & Company in Los Angeles, California (2006); UBS Financial Services in Weehawken, New Jersey (2000-2006); Salomon Smith Barney in New York, New York (1998-2000); American Express Financial Advisors in Minneapolis, Minnesota (1997-1998); and IDS Life Insurance Company in Minneapolis, Minnesota (1997-1998). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 25, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 25, 1997; Series 3 (National Commodity Futures Examination), which he obtained on February 23, 2005; and Series 7 (General Securities Representative Examination), which he obtained on June 19, 1997. He is a registered broker and investment adviser with three US states: California, Minnesota, and Wisconsin.
According to his BrokerCheck report, he has received one pending customer complaint and two denied customer complaints, and he was discharged from his former employer in connection to alleged rule violations.
In November 2017 a customer alleged Jeffrey Brandeen, while employed at Western International Securities, executed unauthorized trades and cut-and-pasted a signature on the options agreement from a different document. The customer is seeking unspecified damages in the pending complaint.
In 2016 a customer alleged Jeffrey Brandeen, while employed at Western International Securities, poorly managed the account and charged excessive commissions. The customer sought $15,500 in damages in the complaint, which was denied.
In 2016 a customer alleged Jeffrey Brandeen, while employed at Western International Securities, charged excessive commissions and poorly managed the account. The customer sought $29,638 in damages in the complaint, which was denied.
In 2006 he was discharged from his position at UBS Financial Services in connection to allegations he exercised discretion without his clients’ written authorization, entered inaccurate information on the firm’s order system, and accepted orders from an individual without proper trading authorization on file.
If you or someone you know has a complaint regarding Jeffrey Brandeen, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.