Displaying 3 results
Wedbush wealth management had ‘pervasive’ texting problems: SEC
Wedbush staff members sent and received messages related to providing investment advice to the firm's clients, according to the SEC.
Wedbush Securities hit with $900,000 fine for trading problems
The Los Angeles-based firm has had a history of failing to supervise certain trades that resulted in scrutiny from regulators and penalties.
SEC slaps Wedbush with $1.2 million in penalties over microcaps
The agency says the firm distributed unregistered shares unlawfully and failed to file suspicious activity reports.
