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
  • Carlson Law Files Claim Involving Sam Jacobs of Key Investment Group

    Carlson Law recently filed a case on behalf of an investor against LaSalle St. Securities involving the actions of Winter...

    Read More
  • Ariel Rivero: FINRA Sanctions Former Jeffries Advisor

    Coral Gables, Florida financial advisor Ariel Rivero (CRD# 4236679) was recently sanctioned and suspended in connection with alleged rule violations....

    Read More
  • Joshua Cox: $80K Complaint Against Everest Wealth Advisor

    Greenwood Village, Colorado financial advisor Joshua Cox (CRD# 6137037) allegedly recommended unsuitable investments, according to a recent investor complaint. Financial...

    Read More
  • Paul Snow: NewEdge Advisor Resigned from Raymond James

    Former Covington, Louisiana broker Paul Snow (CRD# 2963153) recently resigned from Raymond James Financial Services in connection with alleged rule...

    Read More
  • Previous
  • Next