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Asset/Investment Management
fwg.com

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Investments

1

About Financial West Group

The Financial Planners Full Service, Independent Broker-Dealer With PayOuts, transition specialists, Clearing through NFS, Clearing through National Financial Services, financial investing, stocks, bonds, savings, and money, Financial West Group, founded in 1985, is a growing firm providing a variety of financial products and services to 60 offices and 400 Registered Representatives as well as secondary clearing services.

Financial West Group Headquarter Location

4510 E. Thousand Oaks Blvd

Thousand Oaks, California, 91362,

United States

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Latest Financial West Group News

Broker accused of churning barred by Finra

Jul 13, 2018

Paul Soll, formerly of Financial West, failed to provide regulator with information it requested Jul 13, 2018 @ 11:46 am By InvestmentNews The Financial Industry Regulatory Authority Inc. has barred Paul Soll , who recently resigned from Western International Securities, for failing to provide the regulator with information about his trading activity when he was employed by Financial West Group. Finra was investigating potential trading abuses in the account of one of Mr. Soll's elderly customers. The trading activities involved possible excessive trading, churning and unsuitable recommendations of penny stocks between January 2013 and December 2015.

Financial West Group Investments

1 Investments

Financial West Group has made 1 investments. Their latest investment was in Valentis as part of their PIPE - III on June 6, 2005.

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Financial West Group Investments Activity

investments chart

Date

Round

Company

Amount

New?

Co-Investors

Sources

6/13/2005

PIPE - III

Valentis

$4.2M

Yes

Date

6/13/2005

Round

PIPE - III

Company

Valentis

Amount

$4.2M

New?

Yes

Co-Investors

Sources

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