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Advanced SearchViolation Tracker Individual Record
Company: Wedbush Securities
Current Parent Company:
Wedbush Securities
Parent at the Time of the Penalty Announcement:
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Penalty: $2,440,000
Year: 2014
Date: November 20, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Los Angeles-based broker-dealer Wedbush Securities agreed to settle a pending SEC case for market access violations by admitting wrongdoing, paying a $2.44 million penalty, and retaining an independent consultant.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: California
Ownership Structure of Current Parent: privately held
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: stock brokerage
Source of Data:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
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