SEC Charges Firm and Five Brokers with Violations of Reg BI

SEC Charges Firm and Five Brokers with Violations of Reg BI

Jun 16, 2022

The Securities and Exchange Commission today charged registered broker-dealer Western International Securities, Inc. and five of its registered representatives, or brokers – Nancy Cole, Patrick Egan, Andy Gitipityapon, Steven Graham, and Thomas Swan –…

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