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SEC Fines Wedbush $250,000 to Settle Failure to Supervise Charge

Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle a failure to supervise charge in a pending...

SEC Charges Broker-Dealer in Employee’s Alleged Pump-and-Dump Scheme

The Securities and Exchange Commission has charged broker-dealer Wedbush Securities Inc. for failing to supervise one of its registered representatives who was allegedly involved...