DAVID ALAN KWEDER is currently employed as a Broker and/or Investment Adviser at WESTERN INTERNATIONAL SECURITIES, INC. located at 17409 Marquardt Ave., Ste. C-1, Cerritos, CA, 90703.
DAVID ALAN KWEDER has worked at WESTERN INTERNATIONAL SECURITIES, INC. since August 21, 2017
Disclosure History
DAVID ALAN KWEDER has 3 Disclosure Event(s).
Date: April 30, 2010 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT FROM 1996 THROUGH DECEMBER OF 2005 THE FINANCIAL ADVISOR MISMANAGED THE CLAIMANT'S ACCOUNTS WITH REGARD TO UNAUTHORIZED AND EXCESSIVE TRADES. Damage Amount Requested: $903,497.15
Date: May 29, 2008 Category: Customer Dispute Allegations: CUSTOMER CLAIMS SHE WAS NOT MADE AWARE THAT SHE MAY BE SUBJECT TO SURRENDER CHARGES AND TAXES UPON THE SALE OF HER ANNUITY IN MARCH 2007. Damage Amount Requested: $8,035.00
Date: September 14, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT SHE RECEIVED INACCURATE TAX ADVICE FROM HER FINANCIAL ADVISOR AND THAT HER ADVISER MADE UNAUTHORIZED TRADES. DAMAGES UNSPECIFIED. (OVER $5,000) Settlement Amount: $40,000.00
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