Are You An Investor Who Suffered Losses While Working With a Western International Securities Financial Advisor? Our FINRA Lawyers Are Investigating Ex-Western International Securities Broker Daniel Beech Over the past year, Shepherd Smith Edwards and Kantas, a Broker-dealer Arbitration Law Firm, (investorlawyers.com) have filed FINRA lawsuits on behalf of investors…
California investment advisor accused of best interest violations The Certified Financial Board has suspended Western International Securities financial advisor Patrick Michael Egan from using his CFP designation. The decision comes after the US Securities and the Exchange Commission (SEC) charged him, the broker-dealer, and four other Western International brokers with…
SEC Alleges Western International Securities and Its California Financial Advisors Committed Due Diligence Failures The US Securities and Exchange Commission (SEC) has filed civil charges against Western International Securities and several of its registered representatives. The firm and its advisors allegedly violated Regulation Best Interest standards when they sold about…