SEC News: Wedbush Settles Failure to Supervise Charge
Washington DC (STL.News) – The Securities and Exchange Commission announced today that Wedbush Securities Inc. will pay a $250,000 penalty and has agreed to be censured to settle its failure to supervise charge in a pending administrative proceeding. According to the SEC’s March 2018 order instituting proceedings, Wedbush ignored numerous red flags indicating that one of … Continue reading SEC News: Wedbush Settles Failure to Supervise Charge