Stuart Godin Formerly With Western International Securities, Financial West Group and RBC Capital Markets Has 8 Customer Complaints For Alleged Broker Misconduct

Who is Stuart Godin Formerly With Western International Securities?

Stuart Godin (CRD #223476) who was formerly registered with Western International Securities and located in Los Angeles, California is a subject of one of our many securities industry sales practice abuse investigations. Prior to Western International Securities, Stuart Godin was associated with Financial West Group, RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.  Was recently discharged from his employment at Western International securities for allegedly borrowing money from a client which is prohibited under industry rules and firm policies and procedures.

Stuart Godin Customer Complaints

Stuart Godin has been the subject of 8 customer complaints that we know about. Two of Stuart Godin’s 8 customer complaints resulted in arbitration awards in favor of the investors. Six of Stuart Godin’s 8 customer complaints were settled in favor of investors.

Allegations Against Stuart Godin

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

  • Claimant alleges losses due to Stuart Godin’s alleged unsuitable recommendation to invest in a managed futures fund.
  • Client alleges he lost nearly all of his investment in a Managed Futures program allegedly by Stuart Godin.
  • Stuart Godin’s alleged misrepresentation and incompetence on stock selections.

Stuart Godin Red Flags & Your Rights as an Investor

Of course, Stuart Godin 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 Stuart Godin at Western International Securities, Financial West Group and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether Stuart Godin has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Financial West Group and RBC Capital Markets also raises questions about the brokerage firms’ 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 Due To Stuart Godin

If you have questions about Western International Securities, Financial West Group, RBC Capital Markets and/or Stuart Godin 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars