Try our Advanced Search for more refined results

June 15, 2022

United States Securities and Exchange Commission v. Western International Securities, Inc. et al

View recent docket activity

Reflects complaints, answers, motions, orders and trial notes entered from Jan. 1, 2011.
Additional or older documents may be available in Pacer.

Coverage

  1. 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.

Parties

Stay ahead of the curve

In the legal profession, information is the key to success. You have to know what’s happening with clients, competitors, practice areas, and industries. Law360 provides the intelligence you need to remain an expert and beat the competition.


  • Direct access to case information and documents.
  • All significant new filings across U.S. federal district courts, updated hourly on business days.
  • Full-text searches on all patent complaints in federal courts.
  • No-fee downloads of the complaints and so much more!

TRY LAW360 FREE FOR SEVEN DAYS

View the parties now

Already a subscriber? Click here to login

Hello! I'm Law360's automated support bot.

How can I help you today?

For example, you can type:
  • I forgot my password
  • I took a free trial but didn't get a verification email
  • How do I sign up for a newsletter?
Ask a question!