Violation Tracker Individual Record
Date:November 20, 2014
Offense Group:financial offenses
Primary Offense:investor protection violation
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 Parent:USA
HQ State of Parent:California
Ownership Structure of Parent:privately held
Major Industry of Parent:financial services
Specific Industry of Parent:stock brokerage
Source of Data:
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.