Atria Wealth Solutions

Western International Securities (WIS)

SEC Accuses Western International Securities, Five Brokers, Of Reg BI Violations Related to L Bond Sales of $13.3M

Recently a civil suit has been filed by the Securities and Exchange Commission (SEC) against Western International Securities (WIS) about GWG L Bond Sales. A number of broker-dealer’s registered representatives are also named in the suit that alleges violation of the Regulation Best Interest (Reg BI) standards. Specifically, the lawsuit references GWG L Bonds worth $13.3 […]

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NEXT Financial Group FINED For Non-Traded REITS

NEXT Financial Group FINED For Non-Traded REITS

NEXT FINANCIAL GROUP was fined a total of $385,000 in late 2019 for sales practice issues and supervision failures related to non-traded REIT sales. In two states, the Massachusetts securities regulators as well as New Hampshire state securities regulators collectively leveled fines totaling $385,000 against NEXT FINANCIAL GROUP, while also ordering restitution to some. According to the

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