Western International Securities Inc.

07/16/2019: 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

Reference 2017056440501finra.orgdata-portal.finra.org

07/29/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071099404 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021071099404data-portal.finra.orgfinra.org

09/05/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010023133201 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Western International Securities, Inc., Respondent Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure. Respondent Western International Securities, Inc. ("Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010023133201data-portal.finra.orgfinra.org

01/05/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2018060330902 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC

Reference 2018060330902data-portal.finra.orgfinra.org

05/04/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056511101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc., Respondent Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent Western International Securities, Inc. (Western or the Firm) submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.

Reference 2017056511101data-portal.finra.orgfinra.org

sec.govsec.gov

08/21/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015043253001 TO: Department of Enforcement Financial Industry Regulatory Authority (''FINRA") RE: Western International Securities, Inc., Respondent Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Western International Securities, Inc. submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

Reference 2015043253001data-portal.finra.orgfinra.org

02/28/2018: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2015047682404 TO: Department of Enforcement Financial Industry Regulatory Authority (“FINRA”) RE: Western International Securities, Inc. (BD No. 39262) Respondent Pursuant to FINRA Rule 9216 of FINRA’s Code of Procedure, Respondent Western International Securities, Inc. (“Western” or the “Firm”) submits this Letter of Acceptance, Waiver and Consent (“AWC”) for the purpose of proposing a settlement of the

Reference 2015047682404data-portal.finra.orgfinra.org

11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060049769-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Western International Securities, Inc., Respondent Broker-Dealer CRD No. 39262 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Western International Securities, Inc. (the "firm") submits this Letter of Acceptance, Waiver and Consent

Reference 2006004976901data-portal.finra.orgfinra.org

11/01/2022: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2020067094001 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: Western International Securities, Inc. (Respondent) Member Firm CRD No. 39262 Pursuant to FINRA Rule 9216, Respondent Western International Securities, Inc. submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020067094001data-portal.finra.orgfinra.org