<![CDATA[brokerage firm - Israels & Neuman, PLC]]> https://www.israelsneuman.com/blog/tags/brokerage-firm/ Wed, 20 Aug 2025 15:41:51 GMT en-us <![CDATA[Efrain Trujillo of Western International Securities Terminated for Borrowing Money]]> https://www.israelsneuman.com/blog/efrain-trujillo-western-international-securities-terminated/ https://www.israelsneuman.com/blog/efrain-trujillo-western-international-securities-terminated/ Tue, 23 Nov 2021 19:51:59 GMT LOS ANGELES, CALIFORNIA Have you lost money with financial advisor Efrain Trujillo, formerly with Western International Securities in Los Angeles, California? We are looking into allegations made against Efrain Trujillo. Trujillo was discharged from Western International Securities regarding allegations that he borrowed money from a customer. Generally, advisors cannot borrow money from customers, with limited…

]]> LOS ANGELES, CALIFORNIA Have you lost money with financial advisor Efrain Trujillo, formerly with Western International Securities in Los Angeles, California? We are looking into allegations made against Efrain Trujillo. Trujillo was discharged from Western International Securities regarding allegations that he borrowed money from a customer. Generally, advisors cannot borrow money from customers, with limited exceptions.

Efrain Trujillo was with Western International Securities from August 2017 to October 2021. He was also with Financial West Group from June 2012 to August 2017. He has worked at branch offices in Los Angeles, California. Efrain has also been the subject of a customer complaint in 2016, and he was also barred in a principal capacity from FINRA in 2020.

Brokerage firms like Western International Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Seattle, Washington; Phoenix, Arizona; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Western International Securities.

View E Trujillo BrokerCheck Report

If you lost money with Efrain Trujillo or Western International Securities, contact the law firm of ISRAELS & NEUMAN at (720) 599-3505 or (206) 795-5798 for a Free evaluation of your case.

]]> <![CDATA[AEGIS CAPITAL Ordered to Pay Customers for Excessively Trading Accounts]]> https://www.israelsneuman.com/blog/aegis-capital-excessively-trading-accounts/ https://www.israelsneuman.com/blog/aegis-capital-excessively-trading-accounts/ Wed, 10 Nov 2021 20:24:31 GMT Have you lost money investing in variable annuities through Aegis Capital? We are currently investigating allegations made against Aegis Capital, a New York, New York-based securities brokerage firm. FINRA brought a regulatory action against the firm, alleging that its Melville, New York and Wall Street offices failed to adequately supervise advisors who were excessively trading…

]]> Have you lost money investing in variable annuities through Aegis Capital? We are currently investigating allegations made against Aegis Capital, a New York, New York-based securities brokerage firm. FINRA brought a regulatory action against the firm, alleging that its Melville, New York and Wall Street offices failed to adequately supervise advisors who were excessively trading or churning customer accounts. The brokerage firm was also alleged to have failed to adequately supervise the sales of inverse and leveraged ETFs.

To settle these allegations, Aegis Capital agreed to pay a $1.05 million fine and $1.69 million in restitution to effected customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado; Phoenix, Arizona; Seattle, Washington; and Ann Arbor, Michigan. We represent investors in FINRA arbitration proceedings in all 50 states, including New York. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including against Aegis Capital.

View Aegis Capital BrokerCheck Report

If you lost money investing with Aegis Capital, please Contact Us at 720-599-3505 for a free evaluation of your case.

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