Arbitration & Mediation

FINRA's Dispute Resolution Services (DRS) helps investors and firms resolve securities-related disputes through arbitration and mediation. We provide a fair, efficient and effective forum for resolving disputes involving brokerage firms and their brokers.

8,000+

well-qualified arbitrators drawn from a variety of professions and  backgrounds.

84%

of customer arbitration cases closed through settlement or paid damages in 2024.

2020067094001 Western International Securities Inc. CRD 39262 AWC geg (2022-1670113197214).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067094001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

2020067734201 Yoon Sik Chung CRD 5978168 Order Accepting Offer of Settlement lp (2022-1670026811166).pdf

FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Yoon Sik Chung CRD No. 5978168, Respondent. Disciplinary Proceeding No. 2020067734201 Hearing Officer—RES ORDER ACCEPTING OFFER OF SETTLEMENT DATE: November 2, 2022 INTRODUCTION Disciplinary Proceeding No. 2020067734201 was filed on October 7, 2022, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA or Complainant). Respondent Yoon Sik Chung (Chung or Respondent) submitted an Offer of Settlement (Offer) to Complainant dated 10/19/2022.
Subscribe to