Close Menu
Free Consultation: 888-976-6111

David Simon: Bond Complaints Against Western International Advisor

Recent investor complaints against Crystal Bay, Nevada financial advisor David Simon (CRD# 1064191) allege that he made unsuitable investment recommendations or provided misleading information. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor with Western International Securities.

Mr. Simon’s BrokerCheck report discloses two investor complaints filed in October 2022. One complaint alleges that as a representative of Western International Securities, he misrepresented material facts relating to a corporate bond investment, seeking damages of $150,000. The second alleges that he recommended an unsuitable corporate bond investment while at Western International Securities, seeking damages of $300,000. Both complaints remain pending.

According to the Financial Industry Regulatory Authority, David Simon holds 39 years of securities industry experience. Based in Crystal Bay, Nevada, he has been a broker and an investment advisor with Western International Securities since 2004 and 2007, respectively. His past registrations include Quest Capital Strategies (Laguna Hills, California and Incline Village, Nevada; 2002-2004), Charles Schwab & Company (San Francisco, California; 1992-2002), ASB Financial Services (Irvine, California; 1991-1992), Griffin Financial Services (1990-1991), Quest Capital Strategies (Laguna Hills, California; 1989-1999), and Baraban Securities (1982-1989). His credentials include the passage of ten securities industry qualifying exams: the Registered Options Principal Examination, or Series 4; the Municipal Securities Principal Examination, or Series 53; the General Securities Sales Supervisor Examination (Options Module & General Module), or Series 8; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Municipal Securities Representative Examination, or Series 52TO; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He is currently licensed in Arizona, California, Colorado, Florida, Illinois, Maine, Massachusetts, Montana, Nevada, New Jersey, Oklahoma, Oregon, Pennsylvania, and Texas. (Information current as of January 10, 2023.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Tom Bates: $500K Complaint Against Bates Financial Advisor

    Columbus, Ohio financial advisor Tom Bates (CRD# 1037294) allegedly gave misleading investment advice, according to a recent investor complaint. Financial...

    Read More
  • Charlotte McConnell: Ex-Cetera Advisor Faces $300K Complaint

    Fort Collins, Colorado financial Charlotte McConnell (CRD# 1161160) recently received an investor complaint alleging that her advice resulted in damages....

    Read More
  • John Davenport: $150K Complaint Against J. Davenport Advisor

    Norwalk, Connecticut financial advisor John Davenport (CRD# 1448999) recently received an investor complaint alleging that his investment advice resulted in...

    Read More
  • Cissy Hutchinson: Synovus Securities Fires Athens Advisor

    Former Athens, Georgia broker Cissy Hutchinson (CRD# 2067670) was recently fired from Synovus Securities in connection with alleged rule violations....

    Read More
  • Previous
  • Next