FINRA Disciplinary Actions Online

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Case ID Case Summary Document Type Firms/ Individuals Action Datesort ascending
Case ID 2017056440501 Case Summary FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056440501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Western International Securities, Inc., Respondent CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Western International Securities, Inc. ("Western" or the "Firm") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing Document Type AWCs (Letters of Acceptance, Waiver, and Consent) Firms/ Individuals
Western International Securities, Inc.
Action Date 07/16/2019