Jeffrey Brandeen is the Subject of Multiple Investor Disputes

Jeffrey Brandeen (CRD #: 2894744), a broker previously registered with Western International Securities, is the subject of four investor disputes. These disclosures appear on his BrokerCheck record, accessed on August 7, 2025. Keep reading if you have questions concerning his alleged conduct. 

Investor Allegations 

On December 8, 2022, an investor alleged that Jeffrey Brandeen recommended unsuitable investments. The dispute was denied by the firm, but investors should know that firms can deny disputes without any external review. Investors can recover losses following a denial. 

On November 8, 2017, an investor alleged that Jeffrey Brandeen engaged in unauthorized trading. This dispute was also denied. 

Unsuitable Investments 

FINRA Rule 2111 defines suitable investments as securities that fit an investor’s profile. Investor profiles have information on the investor’s age, risk tolerance, tax status, investing experience, and financial goals. Investments that do not take these factors into account may be unsuitable. 

Unauthorized Trading

FINRA Rule 3260 limits discretionary trading by brokers to pre-approved discretionary accounts. These accounts must be approved for discretionary trading by both the client and the firm. Discretionary trading that takes place in an account that has not been approved is unauthorized.

Background Information 

Jeffrey Brandeen has passed the following exams: 

• Series 65 Uniform Investment Adviser Law Examination 
• Series 63 Uniform Securities Agent State Law Examination 
• SIE – Securities Industry Essentials Examination 
• Series 3 National Commodity Futures Examination 
• Series 7 General Securities Representative Examination 

He is a registered broker in eight states and is a registered investment adviser in Arizona and Texas. 

Kurta Law Can Help

If you worked with Jeffrey Brandeen and have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.