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“For tracking litigation, enforcement, and regulatory developments, Compliance Week
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Compliance deficiencies faulted in Western International Securities Reg BI case
By 
Aaron Nicodemus2022-06-16T21:15:00
Western International Securities and five of its brokers have been charged by the Securities and Exchange Commission with violating Regulation Best Interest when they sold high-risk debt securities to investors who weren’t aware of the risks.
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