SEC Charges Firm and Five Brokers with Violations of Reg BI

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 –…

Read the Full Press Release


Have a securities law question? Call New York Securities Lawyers at 212-509-6544.

Leave a Reply