Dennis Mehringer and Western International Securities
Have you lost money with financial advisor Dennis Mehringer of Pasadena, California? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Dennis A. Mehringer, Jr. FINRA alleged that from July 2010 to August 2013, Mehringer made unsuitable trading of Class “A” share mutual funds. The front end sales charges that stemmed from this conduct cost his customers a combined $169,735. FINRA also alleged that Mehringer breached his fiduciary obligations as a trustee of a trust.
Dennis Mehringer is a financial advisor and registered representative of Western International Securities from March 2009 to the present. He works at a branch office in Pasadena, California. Dennis Mehringer has been the subject of at least seven customer complaints. He is currently the subject of a second FINRA investigation regarding selling away.
Brokerage firms like Western International Securities have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado and the Seattle area. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Southern California. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Western International Securities.
Click to view: Mehringer, Dennis FINRA Complaint
Click to view: Mehringer, Dennis BrokerCheck 12.20.16
IF YOU LOST MONEY WITH DENNIS MEHRINGER OR WESTERN INTERNATIONAL SECURITIES, PLEASE CONTACT ISRAELS & NEUMAN AT (720) 599-3505 FOR A FREE EVALUATION OF YOUR CASE.
Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.