Tagged with "wedbush securities"

SEC Orders 17 Advisory Firms to Pay $11 Million to Investors For Failing to Disclose Conflicts of Interest

Posted on October 3rd, 2019 at 4:01 PM
SEC Orders 17 Advisory Firms to Pay $11 Million to Investors For Failing to Disclose Conflicts of Interest

The Securities and Exchange Commission ("SEC") recently ordered 17 investment advisory firms to pay $11 million for failure to disclose conflicts in their mutual fund share class selection practices. 

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Wedbush Securities Settles SEC Failure-To-Supervise Charges Related to Pump and Dump Scheme

Posted on March 15th, 2019 at 9:10 AM
Wedbush Securities Settles SEC Failure-To-Supervise Charges Related to Pump and Dump Scheme

Wedbush Securities, Inc. has agreed to settle an SEC administrative proceeding related to the firm’s failure to take action despite being aware that an employee was involved in a long-running pump-and-dump scheme.

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LATEST NEWS AND ARTICLES

September 22, 2023
State Regulators Maintain Opposition to FINRA's Remote Supervision Pilot Program

The North American Securities Administrators Association (NASAA) and the Public Investor Advocate Bar Association (PIABA) has consistently opposed the Financial Industry Regulatory Authority's (FINRA) proposal for a voluntary three-year pilot program for remote inspections.

September 21, 2023
SEC Charges Private Equity Firm Over Fee Disclosure Failures to Affiliate

The Securities and Exchange Commission (SEC) has charged Prime Group Holdings LLC, a private equity firm specializing in alternative real estate asset investments, with
inadequate disclosure of millions of dollars in real estate brokerage fees paid to a brokerage firm owned by its CEO.

September 20, 2023
SEC Orders Legendary Capital Founder and REIT Advisors to Pay Nearly $5 Million

Corey Maple, co-founder of non-traded REIT sponsor Legendary Capital, has agreed to a $100,000 civil penalty to settle charges brought by the Securities and Exchange Commission (SEC).