DONNA SEMENZA is currently employed as a Broker and/or Investment Adviser at WESTERN INTERNATIONAL SECURITIES, INC. located at 152 W. 57th St., Fl. 16, New York, NY, 10019.
DONNA SEMENZA has worked at WESTERN INTERNATIONAL SECURITIES, INC. since October 28, 2015
Disclosure History
DONNA SEMENZA has 2 Disclosure Event(s).
Date: October 05, 1999 Category: Customer Dispute Allegations: THE CUSTOMERS FILED AN ARBITRATION CLAIM SEEKING DAMAGES FOR THE ALLEGED MISMANAGEMENT OF CERTAIN DISCRETIONARY TRADING ACCOUNTS DURING THE PERIOD OF 1-1-97 TO 6-30-99. Damage Amount Requested: $1,213,715.00 Settlement Amount: $237,500.00 Broker Comment: TO AVOID THE EXPENSE, DELAY AND UNCERTAINTY OF AN ARBITRATION PROCEEDING, THE RESPONDENTS SETTLED THE CLAIMS MADE BY BOTH CLAIMANTS IN RESPECT TO 6 DIFFERENT ACCOUNTS FOR THE AMOUNT OF 237500.00. CONTRIBUTIONS TO THAT AMOUNT WERE 92500.00, 22350.00 AND 122650.00 BY D. SEMENZA, A. RANNA AND THE FIRM, RESPECTIVELY. THE RESPONDENTS DENIED ANY LIABILITY OR WRONGDOING AS PART OF THE SETTLEMENT AGREEMENT THAT WAS ENTERED INTO WITH THE DEFENDANTS.
Date: September 09, 1996 Category: Customer Dispute Allegations: CUSTOMER ALLEGED CHURNING, UNSUITABILITY,MISREPRESENTATIONS AS TO RISK AND UNAUTHORIZED TRANSACTION, ASWELL AS FAILURE TO REGISTER IN MASSACHUSETTS. ALLEGED LOSS OF$80,000.00 PLUS $45,000.00 IN COMMISSIONS. Damage Amount Requested: $125,000.00 Settlement Amount: $60,000.00 Broker Comment: THERE WERE NO FINDINGS AGAINST RESPONDENT (D.SEMENZA). WITHOUT THE RESPONDENTS KNOWLEDGE, THE EMPLOYING FIRMOFFERED A SETTLEMENT WITH THE CLIENT. WITHOUT THE RESPONDENTSCONSENT, THE EMPLOYING FIRM OFFERED FUNDS WHICH WERE DUE TO THERESPONDENT AS PAYROLL AS PART OF THE FIRM'S SETTLEMENT.RESPONDENT DID NOT SETTLE FOR $13,080.00. ADDITIONALLY, THEMASSACHUSETTS SECURITIES DIVISION DISMISSED THE CASE AGAINSTTHE RESPONDENT.Not Provided
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