Investigation of Western International Securities, Inc. Broker Shomir Mukherjee

Western International Securities

Erez Law is interested in speaking with investors who may have suffered losses due to investments with Western International Securities, Inc. broker Shomir Mukherjee (CRD# 4121898) who is alleged to make unsuitable investment recommendations. He has been registered with Western International Securities, Inc. in Westlake Village, California since 2015. Previously, he was registered with Citigroup Global Markets Inc. in Tarzana, California from 2007 to 2015, when he was terminated regarding, “RR resigned after being asked about two annuity withdrawal checks made out to a third party company FBO client name showing the address of rr’s office location. Two letters have since been received by the firm asserting that the client now recalls authorizing the withdrawals and the mailing address. The registered agent for the third party company was believed to be related to RR.”

Shomir Mukherjee Customer Complaints

He has been the subject of two customer complaints between 2021 and 2022, one of which was denied, according to his CRD report:

June 2022. “Unsuitability.” The customer is seeking $100,000 in damages and the case is currently pending. The complaint was regarding corporate debt.

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore,  Western International Securities, Inc. may be liable for investment or other losses suffered by Shomir Mukherjee’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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