Violation Tracker Parent Company Summary

Parent Company Name: 
Wedbush Securities
Ownership Structure: 
privately held
Headquartered in: 
California
Major Industry: 
financial services
Specific Industry: 
stock brokerage
Penalty total since 2000: 
$14,058,237
Number of records: 
8
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$14,043,9377
consumer-protection-related offenses$14,3001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$14,043,9377
insurance violation$14,3001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

WEDBUSH SECURITIES

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Wedbush Securities Inc. investor protection violation 2019 SEC $8,100,000
Wedbush Securities investor protection violation 2014 SEC $2,440,000
Wedbush Securities Inc. investor protection violation 2019 SEC $1,852,540
Wedbush Securities Inc. investor protection violation 2018 SEC $1,304,197
Wedbush Securities Inc. investor protection violation 2019 SEC $250,000
Wedbush Securities Inc. investor protection violation 2014 SEC $67,200
Wedbush Securities Inc. investor protection violation 2016 TN-SEC $30,000
Wedbush Securities Inc. insurance violation 2011 CO-INS $14,300
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