There are options for clients of Western International Securities, Inc. broker Hiroshi Mizutani (CRD# 3259903) who is accused of unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Pasadena, California, since 2015. He was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pasadena, California, from 2007 to 2015.
Hiroshi Mizutani Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
July 2024. “Customer alleges that investment recommendation was unsuitable and misleading.” The customer is seeking $200,000 in damages, and the case is currently pending. The complaint was regarding corporate debt losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Western International Securities, Inc. may be liable for investment or other losses suffered by Hiroshi Mizutani’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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