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Fawn Bennett Has 25 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Dawn Bennett Formerly with Western International Securities?

Dawn Bennett (CRD# 1567051) who is currently registered with Western International Securities and located in Washington, D.C. is a subject of one of our many securities industry sales practice abuse investigations.  Dawn Bennett has been permanently barred by FINRA and SEC from any further association with any firm in the securities industry. Prior to Western International Securities Dawn Bennett was associated with 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Western International Securities Broker Misconduct

In her career, Dawn Bennett has been the subject of 40 customer complaints that we know about, 25 of those complaints were filed in the last two years to recover investment losses. There were 3 arbitration awards entered against her former employer for her alleged misconduct. Thirty-three of Dawn Bennett customer complaints were settled in favor of investors. There are currently 2 pending customer complaints filed against Dawn Bennett current employer Western International Securities for investment losses caused by  her alleged misconduct.

Allegations Against Dawn Bennett

A sample of the allegations made in the FINRA reported arbitration claim settlements and pending complaints for investment losses are as follows:

  • Breach of the general duties of reasonable care, honesty and disclosure, recommending unsuitable investments in violation of section 517.301, Florida statutes, common law fraud, breach of fiduciary duty, and negligence relating to exchange traded funds.
  • Churning, misrepresentation, omission of material facts, fraud, breach of fiduciary duty, constructive fraud, breach of contract, negligence, unsuitability, and violation of the Virginia Securities Act.
  • Offer and sale of unregistered securities, unsuitable recommendations, misrepresentations and omissions of material fact, fraud, breach of fiduciary duty related to a promissory note.
  • Unsuitable recommendations, fraud, breach of fiduciary duty, related to a promissory note and exchange traded fund.
  • Negligence and breach of fiduciary duty related to a promissory note.  Breach of fiduciary duty, fraud, unsuitable recommendations, misrepresentations and omissions of material fact related to a promissory note.
  • Breach of fiduciary duty, fraud, unsuitable recommendations related to a mutual fund and exchange traded fund.
  • Unsuitable recommendations related to exchange traded funds.
  • Claimants allege lack of diversification and portfolio.

Dawn Bennett Red Flags & Your Rights as An Investor

Of course, Dawn Bennett did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Dawn Bennett at Western International Securities on alert to review carefully the activity and performance of their accounts and question whether Dawn Bennett has engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints at Western International Securities also raises questions about supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

File A Claim to Recover Your Investment Losses At Western International Securities

If you have questions about Western International Securities and/or Dawn Bennett and the management or performance of your accounts please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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