Erez Law is currently investigating Western International Securities, Inc. broker Thomas Hartfield (CRD# 4664847), who is accused of investment losses. He has been registered with Western International Securities, Inc. in Granada Hills, California, from 2013 to 2019.
Thomas Hartfield Customer Complaints
He has been the subject of two customer complaints between 2021 and 2024, according to his CRD report:
July 2024. “Customer alleges that an investment recommendations were unsuitable.” The customer is seeking $400,000 in damages, and the case is currently pending. The complaint was regarding mutual funds and direct investments.
February 2021. “Unsuitability; Misrepresentation.” The customer sought $60,000 in damages, and the case was settled for $20,000. The complaint was regarding alternative investments.
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 Thomas Hartfield’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.
"*" indicates required fields
