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June 15, 2022
United States Securities and Exchange Commission v. Western International Securities, Inc. et al
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2:22-cv-04119
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Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.
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June 16, 2022
SEC Takes First 'Reg BI' Action Against Calif. Broker-Dealer
The U.S. Securities and Exchange Commission said Thursday that California-based broker-dealer Western International Securities Inc. sold more than $13 million in high-risk debt securities to retirees and others whose risk profiles didn't match the investments, a first-of-its kind enforcement action claiming violations of Regulation Best Interest.
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