All Wedbush Securities articles
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News BriefWells Fargo fined $200M in latest SEC, CFTC off-channel comms sweep
The Securities and Exchange Commission and Commodity Futures Trading Commission continued their crackdown on financial firms’ recordkeeping failures regarding employee use of off-channel communications with $555 million in total fines levied against nine institutions and their affiliates.
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Blog
Wedbush Securities appoints chief compliance officer
Financial services company Wedbush Securities announced the appointment of Matt Lisle to chief compliance officer of its futures division.
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ArticleWedbush Securities to pay $1.2M for role in microcap fraud scheme
California-based broker-dealer Wedbush Securities agreed to pay $1.2 million as part of a settlement with the SEC for the unregistered sale of microcap securities and its failure to file suspicious activity reports associated with those transactions.
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Article
Wedbush welcomes chief compliance officer
Financial services and investment firm Wedbush Securities announced the appointment of Michael McMaster as senior vice president and chief compliance officer.