fbpx

April 13, 2018

Wedbush Securities Fined Once Again for Alleged Misconduct Two Weeks After the SEC Labeled It a Recidivist Broker

On April 11, 2018, Los Angeles based stockbrokerage, Wedbush Securities Inc., once again came under regulatory fire.  This time, the Financial Industry Regulatory Authority, Inc. (FINRA) fined Wedbush $40,000 for alleged rule violations. Wedbush already received three regulatory sanctions in 2018 with total penalties of $2,809,000.  These penalties add to the more than 70 regulatory

Read More »

Share Page

Search MarquardtLawOffice.com

Search Posts by Category

Send message to set up free consultation.

Recent Posts

Scroll to Top