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Wedbush Securities Names New Wealth Management Executives

Wedbush Securities, an independent broker-dealer, has appointed Christopher Mone as the firm's new executive vice president and head of wealth management. In his new...

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...

Wedbush Securities Founder Steps Down, Appoints New Co-Presidents

Wedbush Securities, a financial services and investment banking firm headquartered in Los Angeles, California, has appointed Rich Jablonski and Gary Wedbush as co-presidents of...

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...

FINRA Fines Wedbush Securities $1.5 Million for SEC Rule Violations

The Financial Industry Regulatory Authority has fined Wedbush Securities Inc. $1.5 million for violating the Securities and Exchange Commission’s customer protection and net capital...