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FINRA alleges that the firm has fallen short of meeting SEC rules and has hit the firm with $1.5 million fine.
The Financial Industry Regulatory Authority (FINRA) reports that it has fined Wedbush Securities Inc. $1.5 million for violating the SEC’s customer protection and net capital rules, and for related supervisory and books and records failures. Separately, the SEC observes that Wedbush Securities, the largest unit in Wedbush Inc., a firm that has existed since the...
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